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ADGM LEGAL FRAMEWORK

  • ABU DHABI GLOBAL MARKET
    • FEDERAL LAW NO (8) OF 2004
    • FEDERAL DECREE NO (15) OF 2013
    • CABINET RESOLUTION NO (4) OF 2013
    • Matters for determining unfitness of directors
    • CABINET RESOLUTION NO. 28 OF 2007
    • ABU DHABI LAW NO. (4) OF 2013
    • ABU DHABI LAW NO. (12) OF 2020
    • ADGM LEGAL FRAMEWORK
      • COMMERCIAL LEGISLATION
      • FSRA LEGISLATION
        • Regulations
        • Rules
          • Anti-Money Laundering and Sanctions Rules and Guidance (AML) [VER06.310321]
          • Islamic Finance Rules (IFR) [VER04.030220]
          • Prudential — Investment, Insurance Intermediation and Banking Rules (PRU) [VER09.310321]
          • Fees Rules (FEES) [VER11.091120]
          • Glossary (GLO) [VER12.310321]
          • General Rulebook (GEN) [VER05.030220]
          • Prudential — Insurance Business (PIN) [VER03.030220]
          • Conduct of Business Rulebook (COBS) [VER10.310321]
          • Captive Insurance Business Rules (CIB) [VER04.030220]
          • Fund Rules (FUNDS) [VER05.030220]
          • Market Infrastructure Rulebook (MIR) [VER05.240220]
            • MIR 1 INTRODUCTION
            • MIR 2 RULES APPLICABLE TO ALL RECOGNISED BODIES
            • MIR 3 RULES APPLICABLE TO RECOGNISED INVESTMENT EXCHANGES
            • MIR 4 RULES APPLICABLE TO RECOGNISED CLEARING HOUSES
            • MIR 5 NOTIFICATION RULES FOR RECOGNISED BODIES
            • MIR 6 SUPERVISION
              • MIR 6.1 Suspension and removal of Financial Instruments from trading
              • MIR 6.2 Information gathering power on Regulator's own initiative
              • MIR 6.3 Risk assessments for Recognised Bodies
              • MIR 6.4 Complaints - Regulator's arrangements
                • MIR 6.4.1
                • MIR 6.4.2
                • MIR 6.4.3
                • MIR 6.4.4
                • MIR 6.4.5
                • MIR 6.4.6
              • MIR 6.5 Regulator supervision of action by Recognised Bodies under their Default Rules
              • MIR 6.6 Power to give directions
              • MIR 6.7 Controllers - Notifications and powers to direct
              • MIR 6.8 Power to revoke recognition
              • MIR 6.9 Procedure for making orders
              • MIR 6.10 Disciplinary measures
              • MIR 6.11 Publication of information
            • MIR 7 NON-ABU DHABI GLOBAL MARKET RECOGNISED BODIES
            • MIR 8 REMOTE MEMBERS
          • Market Rules (MKT) [VER03.030220]
          • Rules of Market Conduct [VER02.210218]
          • Fund Passporting Rules (FP) [VER01.110319]
          • Past Versions
        • Waivers and Modifications
      • ADGM COURTS LEGISLATION
      • ARBITRATION LEGISLATION
    • ADGM COURTS PROCEDURES
    • GUIDANCE & POLICY STATEMENTS
    • PUBLIC CONSULTATION PAPERS
    • NOTICES OF PUBLICATION
  Versions

 
  • Oct 21 2015 - Oct 20 2015
  • Oct 21 2015 - Oct 20 2015
  • Oct 21 2015 - Oct 20 2015
  • Oct 21 2015
‹ Guidance MIR 6.4.1 ›

MIR 6.4 Complaints

  • MIR 6.4.1
  • MIR 6.4.2
  • MIR 6.4.3
  • MIR 6.4.4
  • MIR 6.4.5
  • MIR 6.4.6
‹ Guidance MIR 6.4.1 ›
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