Investment firm / broker-dealer · Abu Dhabi Global Market (ADGM)

Financial Services Permission for Dealing in Investments as Agent or Matched Principal (Category 3A) (Abu Dhabi Global Market (ADGM))

The Financial Services Permission for Dealing in Investments as Agent or Matched Principal (Category 3A) is issued by Financial Services Regulatory Authority (FSRA) under the Financial Services and Markets Regulations 2015. The official register lists 32 current holders. The legal decision period is Within a reasonable time from submission of a complete application. Ownership changes need the regulator's approval before completion.

Last verified 2026-09-24Regulator FSRAMarkdown · Data (CC BY 4.0)
Financial Services Permission for Dealing in Investments as Agent or Matched Principal (Category 3A): licenceIF

At a glance

Official nameFinancial Services Permission for Dealing in Investments as Agent or Matched Principal (Category 3A)1
Issued byFinancial Services Regulatory Authority
JurisdictionAbu Dhabi Global Market (ADGM)
Licence familyInvestment firm / broker-dealer
Legal basisFinancial Services and Markets Regulations 20152
FSRA Prudential: Investment, Insurance Intermediation and Banking Rulebook (PRU)3
PassportingDomestic only
Annual feeUSD 25,0001
Statutory decision timeWithin a reasonable time from submission of a complete application4
Public registerofficial register5
Current holders325

What it lets you do

  • Execution of orders on behalf of clients. Concluding agreements to buy or sell financial instruments on behalf of clients.
  • Reception and transmission of orders. Receiving client orders in financial instruments and passing them to another firm for execution.

Where it is valid

Abu Dhabi Global Market (ADGM) licence, domesticAbu Dhabi Global Market (ADGM)
Valid in Abu Dhabi Global Market (ADGM).

Cost

Cost components, upper bound total USD 25,000Annual supervisory fee: USD 25,000
Regulatory costs from the official sources above. Professional fees, staff, office and audit come on top and depend on the business model.

Buying a company that already holds it

Prior approval required. Under FSMR section 105 and GEN 8.8, prior written approval from the FSRA is required before a person becomes a controller or increases control across 20%, 30%, or 50% thresholds. A controller is defined as holding 10% or more of voting rights or capital, or exercising significant influence. The statutory determination period is 90 days from receipt of a complete notice, accompanied by a USD 1,000 application fee.6

Ready-made companies holding this licence: see verified positions.

Laws behind it

Last verified 2026-09-24Author Danil Marmysh, Founder & CEO, ProtegraReviewed by Anastasia Sidorenkova, Head of Licensing, ProtegraReport an errorReference information, not legal advice.

Sources

  1. en.adgm.thomsonreuters.com: 7541 · retrieved 2026-09-24
  2. en.adgm.thomsonreuters.com: financial services and markets regulations 2015 0 · retrieved 2026-09-24
  3. en.adgm.thomsonreuters.com: prudential investment insurance intermediation and banking r · retrieved 2026-09-24
  4. en.adgm.thomsonreuters.com: 12521 · retrieved 2026-09-24
  5. adgm.com: firms · retrieved 2026-09-24
  6. en.adgm.thomsonreuters.com: 7993 · retrieved 2026-09-24

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