Model: jebish7/cde-small-v1_MNR_3
Author: jebish7
Pipeline: sentence-similarity
Library: sentence-transformers
Tags: sentence-transformers, safetensors, sentence-similarity, feature-extraction, generated_from_trainer, dataset_size:29545, loss:MultipleNegativesRankingLoss, custom_code, arxiv:1908.10084, arxiv:1705.00652, base_model:jxm/cde-small-v1, base_model:finetune:jxm/cde-small-v1, endpoints_compatible, region:us
Base models (finetune): id: jxm/cde-small-v1
Card metadata: base_model: jxm/cde-small-v1
library_name: sentence-transformers
pipeline_tag: sentence-similarity
tags: sentence-transformers, sentence-similarity, feature-extraction, generated_from_trainer, dataset_size:29545, loss:MultipleNegativesRankingLoss
widget: source_sentence: In terms of audited accounts submission for an Applicant, could you clarify the scenarios in which the Regulator might agree that a reviewed pro forma statement of financial position is not needed, and what factors would be considered in making that determination?
sentences: DocumentID: 1 | PassageID: 4.2.1.(3) | Passage: Where the regulator in another jurisdiction does not permit the implementation of policies, procedures, systems and controls consistent with these Rules, the Relevant Person must:
(a)	inform the Regulator in writing immediately; and
(b)	apply appropriate additional measures to manage the money laundering risks posed by the relevant branch or subsidiary., DocumentID: 11 | PassageID: 2.3.15.(4) | Passage: The Applicant must submit to the Regulator the following records, as applicable:
(a)	Audited accounts, for the purposes of this Rule and Rule 2.3.2(1), for the last three full financial years, noting that:
(i)	if the Applicant applies for admission less than ninety days after the end of its last financial year, unless the Applicant has audited accounts for its latest full financial year, the accounts may be for the three years to the end of the previous financial year, but must also include audited or reviewed accounts for its most recent semi-annual financial reporting period; and
(ii)	if the Applicant applies for admission more than six months and seventy-five days after the end of its last financial year, audited or reviewed accounts for its most recent semi-annual financial reporting period (or longer period if available).
(b)	Unless the Regulator agrees it is not needed, a reviewed pro forma statement of financial position. The review must be conducted by an accredited professional auditor of the company or an independent accountant., DocumentID: 36 | PassageID: D.1.3. | Passage: Principle 1 – Oversight and responsibility of climate-related financial risk exposures.Certain functions related to the management of climate-related financial risks may be delegated, but, as with other risks, the board is ultimately responsible and accountable for monitoring, managing and overseeing climate-related risks for the financial firm.
, source_sentence: A financial institution is interested in multiple designations, including the ADGM Green Fund and ADGM Green Bond. For each application, what fee will the institution incur?
sentences: DocumentID: 31 | PassageID: 63) | Passage: INITIAL DISCLOSURE OF MATERIAL ESTIMATES.
Disclosure of material estimates of Contingent Resources
Section 2.3 of the PRMS Guidelines states that Contingent Resources may be assigned for Petroleum Projects that are dependent on ‘technology under development’, and further recommended that a number of guidelines are followed in order to distinguish these estimates from those that should be classified as Unrecoverable Petroleum.  By way of Rule 12.10.1(3), the FSRA fully supports and requires compliance with what is set out in the PRMS Guidelines.
, DocumentID: 19 | PassageID: 40) | Passage: REGULATORY REQUIREMENTS FOR AUTHORISED PERSONS ENGAGED IN REGULATED ACTIVITIES IN RELATION TO VIRTUAL ASSETS
Anti-Money Laundering and Countering Financing of Terrorism
On 21 June 2019, FATF released a revised Guidance for a Risk-Based Approach (RBA) for VAs and VASPs, as well as an Interpretative Note for Recommendation 15. This built upon previous FATF statements by clarifying a RBA for Anti-Money Laundering and Countering the Financing of Terrorism (“AML/CFT”) purposes.   The basic principle underlying the FATF Guidelines is that VASPs are expected to “identify, assess, and take effective action to mitigate their ML/TF risks” with respect to VAs.
, DocumentID: 4 | PassageID: 10.1.1 | Passage: A Person applying to the Regulator for any of the following designations:
(a)	ADGM Green Fund;
(b)	ADGM Climate Transition Fund;
(c)	ADGM Green Portfolio;
(d)	ADGM Climate Transition Portfolio;
(e)	ADGM Green Bond; or
(f)	ADGM Sustainability Linked Bond
must pay to the Regulator an application fee of $2,000., source_sentence: How does the ADGM expect Authorised Persons to incorporate the eligibility of collateral types into their overall risk management framework, particularly concerning Islamic finance principles?
sentences: DocumentID: 17 | PassageID: Schedule 1.Part 2.Chapter 5.42.(2) | Passage: In determining for the purposes of sub-paragraph ‎(1)‎(b) whether Deposits are accepted only on particular occasions, regard is to be had to the frequency of those occasions and to any characteristics distinguishing them from each other., DocumentID: 9 | PassageID: 6.8.5 | Passage: 
(a)	A Fund Manager of an Islamic REIT may obtain financing either directly or through its Special Purpose Vehicle up to 65% of the total gross asset value of the Fund provided that such financing is provided in a Shari'a-compliant manner.
(b)	Upon becoming aware that the borrowing limit set out in 6.8.5(a) has been exceeded, the Fund Manager shall:
(c)	immediately inform Unitholders and the Regulator of the details of the breach and the proposed remedial action;
(d)	use its best endeavours to reduce the excess borrowings;
(e)	not permit the Fund to engage in additional borrowing; and
(f)	inform Unitholders and the Regulator on a regular basis as to the progress of the remedial action., DocumentID: 9 | PassageID: 5.1.1.Guidance.(ii) | Passage: The prudential Category for Islamic Financial Institutions and other Authorised Persons (acting through an Islamic Window) undertaking the Regulated Activity of Managing PSIAs (which may be either a Restricted PSIA or an Unrestricted PSIA) is determined in accordance with PRU Rule 1.3.  An Authorised Person which Manages PSIAs (whether as an Islamic Financial Institution or through an Islamic Window) must comply with the requirements in PRU in relation to specific prudential requirements relating to Trading Book and Non-Trading Book activities, including Credit Risk, Market Risk, Liquidity Risk and Group Risk., source_sentence: Can you please detail the specific Anti-Money Laundering (AML) and Countering Financing of Terrorism (CFT) measures and controls that our firm must have in place when dealing with Spot Commodities as per the FSRA's requirements?
sentences: DocumentID: 34 | PassageID: 65) | Passage: REGULATORY REQUIREMENTS - SPOT COMMODITY ACTIVITIES
Sanctions
Pursuant to AML Rule 11.2.1(1), an Authorised Person must have arrangements in place to ensure that only Spot Commodities that are not subject to sanctions or associated with an entity in the supply chain that is itself subject to a sanction, are used as part of its Regulated Activities, or utilised as part of a delivery and/or storage facility operated by itself (or by any third parties it uses).  In demonstrating compliance with the Rule, an Authorised Person must have powers to resolve any breach in a timely fashion, such as taking emergency action itself or by compelling the delivery and/or storage facility to take appropriate action.  The FSRA expects this to include the Authorised Person having the ability to sanction a Member, market participant or the delivery and/or storage facility for acts or omissions that compromise compliance with applicable sanctions.
, DocumentID: 18 | PassageID: 3.2 | Passage: Financial Services Permissions. VC Managers operating in ADGM require a Financial Services Permission (“FSP”) to undertake any Regulated Activity pertaining to VC Funds and/or co-investments by third parties in VC Funds. The Regulated Activities covered by the FSP will be dependent on the VC Managers’ investment strategy and business model.
(a)	Managing a Collective Investment Fund: this includes carrying out fund management activities in respect of a VC Fund.
(b)	Advising on Investments or Credit : for VC Managers these activities will be restricted to activities related to co-investment alongside a VC Fund which the VC Manager manages, such as recommending that a client invest in an investee company alongside the VC Fund and on the strategy and structure required to make the investment.
(c)	Arranging Deals in Investments: VC Managers may also wish to make arrangements to facilitate co-investments in the investee company.
Authorisation fees and supervision fees for a VC Manager are capped at USD 10,000 regardless of whether one or both of the additional Regulated Activities in b) and c) above in relation to co-investments are included in its FSP. The FSP will include restrictions appropriate to the business model of a VC Manager., DocumentID: 24 | PassageID: 3.9 | Passage: Principle 2 – High Standards for Authorisation. This discerning approach is shown by the FSRA’s power to only permit VAs that it deems ‘acceptable’, as determined by risk factors such as security and traceability, in order to prevent the build-up of risk from illiquid or immature assets. Additionally, we do not permit stablecoins based on the algorithmic model of valuation to the underlying fiat currency., source_sentence: What are the common scenarios or instances where assets and liabilities are not covered by the bases of accounting in Rule 5.3.2, and how should an Insurer address these in their reporting?
sentences: DocumentID: 1 | PassageID: 14.4.1.Guidance.1. | Passage: Relevant Persons are reminded that in accordance with Federal AML Legislation, Relevant Persons or any of their Employees must not tip off any Person, that is, inform any Person that he is being scrutinised, or investigated by any other competent authority, for possible involvement in suspicious Transactions or activity related to money laundering or terrorist financing., DocumentID: 12 | PassageID: 5.3.1.Guidance | Passage: 
The exceptions provided in this Chapter relate to the following:
a.	specific Rules in respect of certain assets and liabilities, intended to achieve a regulatory objective not achieved by application of either or both of the bases of accounting set out in Rule ‎5.3.2;
b.	assets and liabilities that are not dealt with in either or both of the bases of accounting set out in Rule ‎5.3.2; and
c.	the overriding power of the Regulator, set out in Rule ‎5.1.6, to require an Insurer to adopt a particular measurement for a specific asset or liability., DocumentID: 1 | PassageID: 6.2.1.Guidance.2. | Passage: The risk assessment under Rule ‎6.2.1(c) should identify actions to mitigate risks associated with undertaking NFTF business generally, and the use of eKYC specifically. This is because distinct risks are often likely to arise where business is conducted entirely in an NFTF manner, compared to when the business relationship includes a mix of face-to-face and NFTF interactions. The assessment should make reference to risk mitigation measures recommended by the Regulator, a competent authority of the U.A.E., FATF, and other relevant bodies.


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Created: 2024-11-25 09:06:28