• GEN 8.1 GEN 8.1 Information gathering and the Regulator's access to information

    • GEN 8.1.1

      This Rule applies to an Authorised Person and Recognised Body other than a Representative Office with respect to the carrying on of all of its activities.

    • GEN 8.1.2

      An Authorised Person and Recognised Body must where reasonable:

      (a) give or procure the giving of specified information, Documents, files, tapes, computer data or other material in the Authorised Person or Recognised Body's possession or control to the Regulator;
      (b) make its Employees readily available for meetings with the Regulator;
      (c) give the Regulator access to any information, Documents, records, files, tapes, computer data or systems, which are within the Authorised Person or Recognised Body's possession or control and provide any facilities to the Regulator;
      (d) permit the Regulator to copy Documents or other material on the premises of the Authorised Person or Recognised Body at the Authorised Person or Recognised Body's expense;
      (e) provide any copies as requested by the Regulator; and
      (f) answer truthfully, fully and promptly, all questions which are put to it by the Regulator.

    • GEN 8.1.3

      An Authorised Person and Recognised Body must take reasonable steps to ensure that its Employees act in the manner set out in this Chapter.

    • GEN 8.1.4

      An Authorised Person and Recognised Body must take reasonable steps to ascertain if there is any secrecy or data protection legislation that would restrict access by the Authorised Person, Recognised Body or the Regulator to any data required to be recorded under the Regulator's Rules. Where such legislation exists, the Authorised Person or Recognised Body must keep copies of relevant Documents or material in a jurisdiction which does allow access in accordance with Regulations and Rules.

    • Lead regulation

      • GEN 8.1.5

        (1) If requested by the Regulator, an Authorised Person and Recognised Body must provide the Regulator with information that the Authorised Person or Recognised Body or its Auditor has provided to a Non-ADGM Financial Services Regulator.
        (2) If requested by the Regulator, an Authorised Person and Recognised Body must take reasonable steps to provide the Regulator with information that other members of the Authorised Person or Recognised Body's Group have provided to a Non-ADGM Financial Services Regulator.