Important information This form can be used to register a branch of foreign partnership regulated by ADGM Financial Services Regulatory Authority and in accordance with the Commercial Licensing Regulations 2015 and other applicable set of regulations. Prior to completing this form, a provisional approval must be obtained from ADGM Financial Services Regulatory Authority. For further information, please refer to our Guidance Note – Incorporation of Limited Liability Partnership. All fields specified or indicated by * are mandatory Section 1: Application Details Application Date Section 2: General Details Proposed Legal Entity Structure* Branch of Foreign Limited Liability Partnership Branch of Foreign General Partnership Branch of Foreign Limited Partnership Refer to Guidance Note – Registration of Partnership for the definition of partnership types. FSRA Provisional Approval Reference* This provisional approval reference is being provided by the Financial Services Regulatory Authority. Name of Proposed Partnership * Proposed Name in Arabic script This name will be printed on the Commercial Licence issued pursuant to section 10 of the ADGM Commercial Licensing Regulations 2015. Please use either translation or transliteration of the proposed name. If you leave this area blank, the Registrar will use his own discretion in respect of spelling of the name in Arabic script. Name Reservation Had the proposed name been reserved? * Yes No If yes, please provide name reservation reference number. of to a
Office Number* Floor* Building Name* Street Name of Cluster / Square / Area on the island* State / Province* Emirate Country* Residential Address Please provide details of member / partner’s residential address. This information will not be visible to the public register. Unit Number / Number* Building Name* Street / Area* State / Province Emirate Country Fit & Proper This is required to allow ADGM Registration Authority to assess whether you are fit and proper for the purpose of your firm’s registration as a legal entity subject to ADGM Limited Liabilities Partnership and Commercial Licensing Regulations 2015. Have you ever been convicted of a crime involving dishonesty?* Yes No Details Have you ever served or been sentenced to a term of imprisonment?* Yes No Details Have you ever been convicted of any offence any provision of the financial markets legislation or any offence under any provision of any foreign act governing auditors, financial markets or Yes No
relating to Money Laundering? Do these policies procedures, systems and controls enable suspicious customers and transactions to be detected and reported? Yes No Do policies, procedures, systems and controls ensure the persons are able to provide an appropriate audit trail of transactions? Yes No ADGM establishment or a branch of Foreign partnership established in ADGM must establish and maintain effective AML policies, procedures, systems and controls to prevent opportunities for money laundering, in relation to the ADGM establishment and its business activities If you answered ‘no’ to any of the above statement, please provide us your declaration by confirming the below statement. I confirm that I understand that these policies, procedures, systems and controls need to be established and put in place within a reasonable time frame Does the partnership take reasonable steps to ensure that its employees comply with the relevant requirements of its AML policies, procedures, systems and controls? Yes No ADGM establishment or a branch of Foreign partnership established in ADGM must provide AML training to all employees at appropriate and regular internals to ensure that its AML training enables its employees to know the identity and understand the responsibilities of MLRO; understand the relevant legislation relating to money laundering, including Federal Law No. 4 of 2002, Federal Law No. 1 of 2004 and any other relevant Federal laws; understand its policies, procedures, systems and controls related to money laundering and any changes to these; recognise risks and activities which may be related to money laundering; understand the types of activity that may constitute suspicious activity; understand its arrangements regarding the making of a notification to the MLRO; be aware of prevailing methods in money laundering. ADGM establishment or a branch of Foreign partnership established in ADGM must ensure that its AML training is up-to-date and conducted with sufficient frequency If you answered ‘no’ to the above statement, please provide us your declaration by confirming the below statement. I confirm that I have read and understood the above. Review Process
Does the partnership conduct reviews to ensure effectiveness of its AML policies, procedures, systems and controls at least annually? Yes No ADGM establishment or a branch of Foreign partnership established in ADGM must review the effectiveness of its AML policies, procedures, systems and controls at least annually. If you answered ‘no’ to the above statement, please provide us your declaration by confirming the below statement. I confirm that I have read and understood the above. Who conducts the review process? Internal Audit Compliance Function Professional Firm What does the review process Know Your Customer’ sample testing. Yes No Analysis of all suspicious transaction reports to highlight training needs Yes No A review of the nature and frequency of the dialogue between the governing body and senior management with the MLRO to ensure that responsibility for implementing and maintaining adequate controls is satisfactory Yes No Please tick applicable box Compliance in Other Jurisdictions We confirm that the partnership has a branch or a subsidiary operating in another jurisdiction. We ensure that its AML policies, procedures, systems and controls apply to any branch or a subsidiary operating in another jurisdiction. Disclosure to the Registrar We confirm that If another jurisdiction's laws or regulations prevent or inhibit the partnership from complying with UAE Law No. 4 of 2002, UAE Law No. 1 of 2004 or with any ADGM regulations or rules related to Anti Money Laundering provisions, the partnership will promptly inform the Registration Authority.