Model: BelisaDi/stella-tuned-rirag
Author: BelisaDi
Pipeline: sentence-similarity
Library: sentence-transformers
Tags: sentence-transformers, safetensors, new, sentence-similarity, feature-extraction, generated_from_trainer, dataset_size:29547, loss:MultipleNegativesRankingLoss, custom_code, arxiv:1908.10084, arxiv:1705.00652, base_model:NovaSearch/stella_en_400M_v5, base_model:finetune:NovaSearch/stella_en_400M_v5, text-embeddings-inference, endpoints_compatible, region:us
Base models (finetune): id: NovaSearch/stella_en_400M_v5
Card metadata: tags: sentence-transformers, sentence-similarity, feature-extraction, generated_from_trainer, dataset_size:29547, loss:MultipleNegativesRankingLoss
base_model: dunzhang/stella_en_400M_v5
widget: source_sentence: When calculating regulatory capital, which guidance note outlines the potential for an increased valuation adjustment for less liquid positions that may surpass the adjustments made for financial reporting purposes?
sentences: REGULATORY REQUIREMENTS - SPOT COMMODITY ACTIVITIES
Spot Commodities and Accepted Spot Commodities
Authorised Persons will need to submit the details of how each Accepted Spot Commodity that is proposed to be used meets the requirements for the purposes of COBS Rule 22.2.2 and paragraphs 25 and 26 above.  The use of each Accepted Spot Commodity will be approved as part of the formal application process for review and approval of an FSP.  Though an Authorised Person may, for example, propose to admit to trading a commonly traded Spot Commodity, the Authorised Person’s controls relating to responsible and sustainable sourcing, and sound delivery mechanisms may not yet be fully developed.  In such circumstances, the FSRA may require the Authorised Person to delay the commencement of trading until such time that suitable controls have been developed and implemented.
, Adjustment to the current valuation of less liquid positions for regulatory capital purposes. The adjustment to the current valuation of less liquid positions made under Guidance note 11 is likely to impact minimum Capital Requirements and may exceed those valuation adjustments made under the International Financial Reporting Standards and Guidance notes 8 and 9.

, REGULATORY REQUIREMENTS FOR AUTHORISED PERSONS ENGAGED IN REGULATED ACTIVITIES IN RELATION TO VIRTUAL ASSETS
Anti-Money Laundering and Countering Financing of Terrorism
In order to develop a robust and sustainable regulatory framework for Virtual Assets, FSRA is of the view that a comprehensive application of its AML/CFT framework should be in place, including full compliance with, among other things, the:

a)	UAE AML/CFT Federal Laws, including the UAE Cabinet Resolution No. (10) of 2019 Concerning the Executive Regulation of the Federal Law No. 20 of 2018 concerning Anti-Money Laundering and Combating Terrorism Financing;

b)	UAE Cabinet Resolution 20 of 2019 concerning the procedures of dealing with those listed under the UN sanctions list and UAE/local terrorist lists issued by the Cabinet, including the FSRA AML and Sanctions Rules and Guidance (“AML Rules”) or such other AML rules as may be applicable in ADGM from time to time; and

c)	adoption of international best practices (including the FATF Recommendations).
, source_sentence: Are there any ADGM-specific guidelines or best practices for integrating anti-money laundering (AML) compliance into our technology and financial systems to manage operational risks effectively?
sentences: REGULATORY REQUIREMENTS FOR AUTHORISED PERSONS ENGAGED IN REGULATED ACTIVITIES IN RELATION TO VIRTUAL ASSETS
Security measures and procedures
IT infrastructures should be strong enough to resist, without significant loss to Clients, a number of scenarios, including but not limited to: accidental destruction or breach of data, collusion or leakage of information by employees/former employees, successful hack of a cryptographic and hardware security module or server, or access by hackers of any single set of encryption/decryption keys that could result in a complete system breach.
, A Relevant Person may use a database maintained elsewhere for an up-to-date list of resolutions and Sanctions, or to perform checks of customers or transactions against that list. For example, it may wish to use a database maintained by its head office or a Group member. However, the Relevant Person retains responsibility for ensuring that its systems and controls are effective to ensure compliance with this Rulebook., DIGITAL SECURITIES SETTLEMENT
Digital Settlement Facilities (DSFs)
For the purposes of this Guidance and distinct from RCHs, the FSRA will consider DSFs suitable for the purposes of settlement (MIR Rule 3.8) and custody (MIR Rule 2.10) of Digital Securities. A DSF, holding an FSP for Providing Custody, may provide custody and settlement services in Digital Securities for RIEs and MTFs (as applicable).  Therefore, for the purposes of custody and settlement of Digital Securities, the arrangements that a RIE or MTF would normally have in place with a RCH can be replaced with arrangements provided by a DSF, provided that certain requirements, as described in this section, are met.
, source_sentence: In the context of the Risk-Based Approach (RBA), how should a Relevant Person prioritize and address the risks once they have been identified and assessed?
sentences: If the Regulator considers that an auditor or actuary has committed a contravention of these Regulations, it may disqualify the auditor or actuary from being the auditor of, or (as the case may be), from acting as an actuary for, any Authorised Person, Recognised Body or Reporting Entity or any particular class thereof., The Regulator shall have the power to require an Institution in Resolution, or any of its Group Entities, to provide any services or facilities (excluding any financial support) that are necessary to enable the Recipient to operate the transferred business effectively, including where the Institution under Resolution or relevant Group Entity has entered into Insolvency Proceedings., In addition to assessing risk arising from money laundering, a business risk assessment should assess the potential exposure of a Relevant Person to other Financial Crime, such as fraud and the theft of personal data. The business risk assessment should also address the Relevant Person’s potential exposure to cyber security risk, as this risk may have a material impact on the Relevant Person’s ability to prevent Financial Crime., source_sentence: Can you provide further clarification on the specific measures deemed adequate for handling conflicts of interest related to the provision and management of credit within an Authorised Person's organization?
sentences: An Authorised Person with one or more branches outside the ADGM must implement and maintain Credit Risk policies adapted to each local market and its regulatory conditions., In addition, applications for recognition as a Remote Investment Exchange or Remote Clearing House must contain:
(a)	the address of the Applicant's head office in its home jurisdiction;
(b)	the address of a place in the Abu Dhabi Global Market for the service on the Applicant of notices or other documents required or authorised to be served on it;
(c)	information identifying any type of activity which the Applicant envisages undertaking in the Abu Dhabi Global Market and the extent and nature of usage and membership;
(d)	a comparative analysis of the Applicant's regulatory requirements in its home jurisdiction compared against those under the Rules set out in this Rulebook and those contained in the “Principles for Financial Market Infrastructures” issued by IOSCO and the Committee on Payment and Settlement Systems (April 2012);
(e)	the information, evidence and explanatory material necessary to demonstrate to the Regulator that the requirements specified in Rule ‎7.2.2 are met;
(f)	one copy of each of the following documents:
(i)	its most recent financial statements; and
(ii)	the Applicant’s memorandum and articles of association or any similar documents; and
(g)	the date by which the Applicant wishes the Recognition Order to take effect., Financial risk . All applicants are required to demonstrate they have a sound initial capital base and funding and must be able to meet the relevant prudential requirements of ADGM legislation, on an ongoing basis. This includes holding enough capital resources to cover expenses even if expected revenue takes time to materialise. Start-ups can encounter greater financial risks as they seek to establish and grow a new business., source_sentence: What are the recommended best practices for ensuring that all disclosures are prepared in accordance with the PRMS, and how can we validate that our classification and reporting of Petroleum Resources meet the standards set forth?
sentences: Notwithstanding this Rule, an Authorised Person would generally be expected to separate the roles of Compliance Officer and Senior Executive Officer. In addition, the roles of Compliance Officer, Finance Officer and Money Laundering Reporting Officer would not be expected to be combined with any other Controlled Functions unless appropriate monitoring and control arrangements independent of the individual concerned will be implemented by the Authorised Person. This may be possible in the case of a Branch, where monitoring and controlling of the individual (carrying out more than one role in the Branch) is conducted from the Authorised Person's home state by an appropriate individual for each of the relevant Controlled Functions as applicable. However, it is recognised that, on a case by case basis, there may be exceptional circumstances in which this may not always be practical or possible., DISCLOSURE REQUIREMENTS .
Material Exploration and drilling results
Rule 12.5.1 sets out the reporting requirements relevant to disclosures of material Exploration and drilling results in relation to Petroleum Resources.  Such disclosures should be presented in a factual and balanced manner, and contain sufficient information to allow investors and their advisers to make an informed judgement of its materiality.  Care needs to be taken to ensure that a disclosure does not suggest, without reasonable grounds, that commercially recoverable or potentially recoverable quantities of Petroleum have been discovered, in the absence of determining and disclosing estimates of Petroleum Resources in accordance with Chapter 12 and the PRMS.
, REGULATORY REQUIREMENTS FOR AUTHORISED PERSONS ENGAGED IN REGULATED ACTIVITIES IN RELATION TO VIRTUAL ASSETS
Origin and destination of Virtual Asset funds
Currently, there are technology solutions developed in-house and available from third party service providers which enable the tracking of Virtual Assets through multiple transactions to more accurately identify the source and destination of these Virtual Assets. It is expected that Authorised Persons may need to consider the use of such solutions and other systems to adequately meet their anti-money laundering, financial crime and know-your-customer obligations under the Virtual Asset Framework.

pipeline_tag: sentence-similarity
library_name: sentence-transformers
Likes: 1 | All-time downloads: 16
Created: 2024-11-08 23:57:12