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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
    • 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]
          • Captive Insurance Business Rules (CIB) [VER04.030220]
          • Conduct of Business Rulebook (COBS) [VER11.080222]
          • Fees Rules (FEES) [VER13.270422]
          • Fund Passporting Rules (FP) [VER01.110319]
          • Fund Rules (FUNDS) [VER06.250521]
          • General Rulebook (GEN) [VER05.030220]
            • GEN 1. INTRODUCTION
            • GEN 2. CORE PRINCIPLES
            • GEN 3. MANAGEMENT, SYSTEMS AND CONTROLS
            • GEN 4. GENERAL PROVISIONS
            • GEN 5. AUTHORISATION AND THRESHOLD CONDITIONS
              • GEN 5.1 Application
              • GEN 5.2 Application for a Financial Services Permission
              • GEN 5.3 Controlled Functions and Approved Persons
              • GEN 5.4 Recognised Functions and Recognised Persons
              • GEN 5.5 Mandatory appointments
              • GEN 5.6 Application for Approved Person status
              • GEN 5.7 Application for Recognised Person status
                • GEN 5.7.1
                • GEN 5.7.2
                • Consideration and assessment of applications
                • Systems and controls
                  • GEN 5.7.12
                  • GEN 5.7.13
                  • GEN 5.7.14
                  • GEN 5.7.15
            • GEN 6. ACCOUNTING AND AUDITING
            • GEN 7. COMPLAINTS HANDLING AND DISPUTE RESOLUTION
            • GEN 8. SUPERVISION
            • GEN 9. REPRESENTATIVES OFFICES
            • GEN APP 1 BEST PRACTICE RELATING TO CORPORATE GOVERNANCE AND REMUNERATION
            • GEN APP 2 TRADE REPOSITORY
          • Glossary (GLO) [VER13.270422]
          • Islamic Finance Rules (IFR) [VER04.030220]
          • Market Infrastructure Rulebook (MIR) [VER05.240220]
          • Market Rules (MKT) [VER04.080222]
          • Prudential — Insurance Business (PIN) [VER04.270422]
          • Prudential — Investment, Insurance Intermediation and Banking Rules (PRU) [VER11.270422]
          • Rules of Market Conduct [VER02.210218]
          • Past Versions
        • Waivers and Modifications
      • ADGM COURTS LEGISLATION
      • ARBITRATION LEGISLATION
    • ADGM COURTS PROCEDURES
    • GUIDANCE & POLICY STATEMENTS
    • PUBLIC CONSULTATION PAPERS
    • NOTICES OF PUBLICATION
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Breadcrumb

  1. ABU DHABI GLOBAL MARKET
  2. ADGM LEGAL FRAMEWORK
  3. FSRA LEGISLATION
  4. Rules
  5. General Rulebook (GEN) [VER05.030220]
  6. GEN 5. AUTHORISATION AND THRESHOLD CONDITIONS
  7. GEN 5.7 Application for Recognised Person status
  8. Systems and controls
  9. GEN 5.7.15
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  Versions

 
  • Oct 21 2015 - Oct 20 2015
  • Oct 21 2015 - Oct 20 2015
  • Oct 21 2015
‹ GEN 5.7.14 GEN 6. ACCOUNTING AND AUDITING ›

GEN 5.7.15

Past version: effective from 21/10/2015 - 20/10/2015
To view other versions open the versions tab on the right

(1) An Authorised Person must keep records of the assessment process undertaken for each individual under this Chapter.
(2) These records must be kept for a minimum of six years from the date of the assessment.
‹ GEN 5.7.14 GEN 6. ACCOUNTING AND AUDITING ›
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