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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]
            • FUNDS PART 1: INTRODUCTION
            • FUNDS PART 2: DEFINITIONAL PROVISIONS
            • FUNDS PART 3: AUTHORISATION
            • FUNDS PART 4: MARKETING OF DOMESTIC AND FOREIGN FUNDS
            • FUNDS PART 5: CORE RULES RELATING TO ESTABLISHMENT AND MANAGEMENT OF DOMESTIC FUNDS
              • FUNDS 11. CONSTITUTION
              • FUNDS 12. MANAGEMENT AND OPERATION OF A FUND
              • FUNDS 13. REQUIREMENTS SPECIFIC TO PUBLIC FUNDS AND REAL ESTATE INVESTMENT TRUSTS
                • FUNDS 13.1 Application
                • FUNDS 13.2 Issue and redemption of Public Fund Units
                • FUNDS 13.3 Oversight arrangements for Public Funds
                  • Guidance
                  • Requirements relating to oversight arrangements
                  • Permitted oversight arrangements
                  • Suitability criteria for persons providing oversight function
                  • General oversight duties
                  • Duties of a person providing oversight functions
                  • Independence
                  • Proceedings of the oversight provider
                  • Principles and disclosure of interests
                  • Principle 1 — Integrity
                  • Principle 2 — Due skill, care and diligence
                  • Principle 3 — Market conduct
                  • Principle 4 — Relations with the Regulator
                    • FUNDS 13.3.13
                  • Systems and controls relating to oversight
                  • Oversight report
                  • Co-operation with oversight providers
                  • Record keeping
                • FUNDS 13.4 Investment and borrowing requirements for Public Funds
                • FUNDS 13.5 Real Estate Investment Trusts (REITs)
                • FUNDS 13.6 Payments of liabilities on transfer of assets
              • FUNDS 14. REQUIREMENTS SPECIFIC TO EXEMPT FUNDS
              • FUNDS 15. REQUIREMENTS SPECIFIC TO QUALIFIED INVESTOR FUNDS
              • FUNDS 16. ACCOUNTING, AUDIT AND PERIODIC REPORTING OF A FUND
              • FUNDS 17. FUND ADMINISTRATORS
            • FUNDS PART 6: TRANSFER SCHEMES
            • FUNDS PART 7: WINDING UP
            • FUNDS APP 1 DELEGATION AND OUTSOURCING
            • FUNDS APP 2 MEETING PROCEDURES
            • FUNDS APP 3 APPROVALS AND NOTIFICATIONS
            • FUNDS APP 4 GUIDANCE ON ASSET VALUATION AND PRICING
            • FUNDS APP 5 CONSTITUTION OF A DOMESTIC FUND
            • FUNDS APP 6 GUIDANCE ON FITNESS AND PROPRIETY FOR OVERSIGHT FUNCTIONS
            • FUNDS APP 7 PUBLIC FUND PROSPECTUS DISCLOSURE
            • FUNDS APP 8 RECOGNISED JURISDICTION LIST
          • General Rulebook (GEN) [VER05.030220]
          • 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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  1. ABU DHABI GLOBAL MARKET
  2. ADGM LEGAL FRAMEWORK
  3. FSRA LEGISLATION
  4. Rules
  5. Fund Rules (FUNDS) [VER06.250521]
  6. FUNDS PART 5: CORE RULES RELATING TO ESTABLISHMENT AND MANAGEMENT OF DOMESTIC FUNDS
  7. FUNDS 13. REQUIREMENTS SPECIFIC TO PUBLIC FUNDS AND REAL ESTATE INVESTMENT TRUSTS
  8. FUNDS 13.3 Oversight arrangements for Public Funds
  9. Principle 4 — Relations with the Regulator
  10. FUNDS 13.3.13
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  Versions

 
  • Oct 21 2015 - Oct 20 2015
  • Oct 21 2015 - Oct 20 2015
  • Oct 21 2015
‹ Principle 4 — Relations with the Regulator Systems and controls relating to oversight ›

FUNDS 13.3.13

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

An individual must deal with the Regulator in an open and co-operative manner and must disclose appropriately any information of which the Regulator would reasonable be expected to be notified.

‹ Principle 4 — Relations with the Regulator Systems and controls relating to oversight ›
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