The Financial Services Regulatory Authority (“FSRA”) is responsible for the regulation of financial services in the Abu Dhabi Global Market (“ADGM”).

One of the FSRA’s objectives is to prevent, detect and restrain conduct that causes or may cause damage to the reputation of the ADGM through appropriate means including the imposition of sanctions. The FSRA Enforcement Department plays a critical role in advancing the FSRA’s pursuit of its objectives through the fair and proportionate use of the FSRA’s enforcement powers.

The Enforcement Department is responsible for:

• Complaints Management: Receive, assess and respond to all complaints received by the FSRA efficiently and effectively.
• Internal Assistance: Provide effective assistance to the FSRA’s supervisory departments.
• Internal Referrals: Receive and assess internal referrals concerning potential contraventions of FSRA Regulations and Rules.
• External Referrals: Rec...