Model: jebish7/cde-v2-obliqa-2
Author: jebish7
Pipeline: sentence-similarity
Library: sentence-transformers
Tags: sentence-transformers, safetensors, sentence-similarity, feature-extraction, generated_from_trainer, dataset_size:29545, loss:MultipleNegativesSymmetricRankingLoss, custom_code, arxiv:1908.10084, base_model:jxm/cde-small-v2, base_model:finetune:jxm/cde-small-v2, endpoints_compatible, region:us
Base models (finetune): id: jxm/cde-small-v2
Card metadata: tags: sentence-transformers, sentence-similarity, feature-extraction, generated_from_trainer, dataset_size:29545, loss:MultipleNegativesSymmetricRankingLoss
base_model: jxm/cde-small-v2
widget: source_sentence: In the context of the risk-based assessment of customers and business relationships, how should the overlap between customer risk assessment and CDD be managed to ensure both are completed effectively and in compliance with ADGM regulations?
sentences: DocumentID: 36 | PassageID: D.7. | Passage: Principle 7 – Scenario analysis of climate-related financial risks. Where appropriate, relevant financial firms should develop and implement climate-related scenario analysis frameworks, including stress testing, in a manner commensurate with their size, complexity, risk profile and nature of activities.
, DocumentID: 1 | PassageID: 7.Guidance.4. | Passage: The risk-based assessment of the customer and the proposed business relationship, Transaction or product required under this Chapter is required to be undertaken prior to the establishment of a business relationship with a customer. Because the risk rating assigned to a customer resulting from this assessment determines the level of CDD that must be undertaken for that customer, this process must be completed before the CDD is completed for the customer. The Regulator is aware that in practice there will often be some degree of overlap between the customer risk assessment and CDD. For example, a Relevant Person may undertake some aspects of CDD, such as identifying Beneficial Owners, when it performs a risk assessment of the customer. Conversely, a Relevant Person may also obtain relevant information as part of CDD which has an impact on its customer risk assessment. Where information obtained as part of CDD of a customer affects the risk rating of a customer, the change in risk rating should be reflected in the degree of CDD undertaken., DocumentID: 1 | PassageID: 9.1.2.Guidance.4. | Passage: Where the legislative framework of a jurisdiction (such as secrecy or data protection legislation) prevents a Relevant Person from having access to CDD information upon request without delay as referred to in Rule ‎9.1.1(3)(b), the Relevant Person should undertake the relevant CDD itself and should not seek to rely on the relevant third party., source_sentence: Can you clarify the responsibilities of the Governing Body of a Relevant Person in establishing and maintaining AML/TFS policies and procedures, and how these should be documented and reviewed?
sentences: DocumentID: 28 | PassageID: 193) | Passage: SUPERVISION BY LISTING AUTHORITY
Complaints or allegations of non-compliance by Reporting Entities
If, as a result of the enquiry, the Listing Authority forms the view that the information is accurate, is Inside Information, and is not within exemption from Disclosure provided by Rule 7.2.2, the Listing Authority will ask the Reporting Entity to make a Disclosure about the matter under Rule 7.2.1.  If the information should have been Disclosed earlier, the Listing Authority may issue an ‘aware letter’ (see paragraphs 187 to 189 above), or take other relevant action.

, DocumentID: 17 | PassageID: Part 13.165.(2) | Passage: The Regulator shall not approve a Non Abu Dhabi Global Market Clearing House unless it is satisfied—
(a)	that the rules and practices of the body, together with the law of the country in which the body's head office is situated, provide adequate procedures for dealing with the default of persons party to contracts connected with the body; and
(b)	that it is otherwise appropriate to approve the body;
together being the “Relevant Requirements” for this Part., DocumentID: 1 | PassageID: 4.3.1 | Passage: A Relevant Person which is part of a Group must ensure that it:
(a)	has developed and implemented policies and procedures for the sharing of information between Group entities, including the sharing of information relating to CDD and money laundering risks;
(b)	has in place adequate safeguards on the confidentiality and use of information exchanged between Group entities, including consideration of relevant data protection legislation;
(c)	remains aware of the money laundering risks of the Group as a whole and of its exposure to the Group and takes active steps to mitigate such risks;
(d)	contributes to a Group-wide risk assessment to identify and assess money laundering risks for the Group; and
(e)	provides its Group-wide compliance, audit and AML/TFS functions with customer account and Transaction information from its Branches and Subsidiaries when necessary for AML/TFS purposes., source_sentence: What specific accounting standards and practices are we required to follow when valuing positions in our Trading and Non-Trading Books to ensure compliance with ADGM regulations?
sentences: DocumentID: 7 | PassageID: 8.10.1.(2).Guidance.3. | Passage: Each Authorised Person, Recognised Body and its Auditors is also required under Part 16 and section 193 of the FSMR respectively, to disclose to the Regulator any matter which may indicate a breach or likely breach of, or a failure or likely failure to comply with, Regulations or Rules. Each Authorised Person and Recognised Body is also required to establish and implement systems and procedures to enable its compliance and compliance by its Auditors with notification requirements.
, 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: 13 | PassageID: APP2.A2.1.1.(4) | Passage: An Authorised Person must value every position included in its Trading Book and the Non Trading Book in accordance with the relevant accounting standards and practices.
, source_sentence: What documentation and information are we required to maintain to demonstrate compliance with the rules pertaining to the cooperation with auditors, especially in terms of providing access and not interfering with their duties?
sentences: DocumentID: 6 | PassageID: PART 5.16.3.5 | Passage: Co-operation with auditors. A Fund Manager must take reasonable steps to ensure that it and its Employees:
(a)	provide any information to its auditor that its auditor reasonably requires, or is entitled to receive as auditor;
(b)	give the auditor right of access at all reasonable times to relevant records and information within its possession;
(c)	allow the auditor to make copies of any records or information referred to in ‎(b);
(d)	do not interfere with the auditor's ability to discharge its duties;
(e)	report to the auditor any matter which may significantly affect the financial position of the Fund; and
(f)	provide such other assistance as the auditor may reasonably request it to provide., DocumentID: 13 | PassageID: 4.3.1 | Passage: An Authorised Person must implement and maintain comprehensive Credit Risk management systems which:
(a)	are appropriate to the firm's type, scope, complexity and scale of operations;
(b)	are appropriate to the diversity of its operations, including geographical diversity;
(c)	enable the firm to effectively identify, assess, monitor and control Credit Risk and to ensure that adequate Capital Resources are available at all times to cover the risks assumed; and
(d)	ensure effective implementation of the Credit Risk strategy and policy., DocumentID: 3 | PassageID: 3.8.9 | Passage: The Authorised Person acting as the Investment Manager of an ADGM Green Portfolio must provide a copy of the attestation obtained for the purposes of Rule ‎3.8.6 to each Client with whom it has entered into a Discretionary Portfolio Management Agreement in respect of such ADGM Green Portfolio at least on an annual basis and upon request by the Client., source_sentence: Could you provide examples of circumstances that, when changed, would necessitate the reevaluation of a customer's risk assessment and the application of updated CDD measures?
sentences: DocumentID: 13 | PassageID: 9.2.1.Guidance.1. | Passage: The Regulator expects that an Authorised Person's Liquidity Risk strategy will set out the approach that the Authorised Person will take to Liquidity Risk management, including various quantitative and qualitative targets. It should be communicated to all relevant functions and staff within the organisation and be set out in the Authorised Person's Liquidity Risk policy., DocumentID: 1 | PassageID: 8.1.2.(1) | Passage: A Relevant Person must also apply CDD measures to each existing customer under Rules ‎8.3.1, ‎8.4.1 or ‎8.5.1 as applicable:
(a)	with a frequency appropriate to the outcome of the risk-based approach taken in relation to each customer; and
(b)	when the Relevant Person becomes aware that any circumstances relevant to its risk assessment for a customer have changed., DocumentID: 1 | PassageID: 8.1.1.Guidance.2. | Passage: The FIU has issued guides that require:
(a)	a DNFBP that is a dealer in precious metals or precious stones to obtain relevant identification documents, such as passport, emirates ID, trade licence, as applicable, and register the information via goAML for all cash transactions equal to or exceeding USD15,000 with individuals and all cash or wire transfer transactions equal to or exceeding USD15,000 with entities. The Regulator expects a dealer in any saleable item or a price equal to or greater than USD15,000 to also comply with this requirement;
(b)	a DNFBP that is a real estate agent to obtain relevant identification documents, such as passport, emirates ID, trade licence, as applicable, and register the information via goAML for all sales or purchases of Real Property where:
(i)	the payment for the sale/purchase includes a total cash payment of USD15,000 or more whether in a single cash payment or multiple cash payments;
(ii)	the payment for any part or all of the sale/purchase amount includes payment(s) using Virtual Assets;
(iii)	the payment for any part or all of the sale/purchase amount includes funds that were converted from or to a Virtual Asset.
pipeline_tag: sentence-similarity
library_name: sentence-transformers
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Created: 2025-03-05 17:40:07