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

Source page: https://protegra.io/licensing/licences/investment-firm/adgm-cat3a/

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.

## At a glance

| Official name | Financial Services Permission for Dealing in Investments as Agent or Matched Principal (Category 3A) [1] |
| --- | --- |
| Issued by | [Financial Services Regulatory Authority](https://protegra.io/licensing/regulators/fsra-adgm/) |
| Jurisdiction | [Abu Dhabi Global Market (ADGM)](https://protegra.io/licensing/jurisdictions/adgm/) |
| Licence family | [Investment firm / broker-dealer](https://protegra.io/licensing/licences/investment-firm/) |
| Legal basis | Financial Services and Markets Regulations 2015 [2]; FSRA Prudential: Investment, Insurance Intermediation and Banking Rulebook (PRU) [3] |
| Passporting | Domestic only |
| Annual fee | USD 25,000 [1] |
| Statutory decision time | Within a reasonable time from submission of a complete application [4] |
| Public register | [official register](https://www.adgm.com/public-registers/fsra/firms) [5] |
| Current holders | 32 [5] |

## What it lets you do

- [Execution of orders on behalf of clients](https://protegra.io/licensing/activities/order-execution/)
- [Reception and transmission of orders](https://protegra.io/licensing/activities/order-reception-transmission/)

- **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

_Valid in Abu Dhabi Global Market (ADGM)._

## Cost

_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](https://protegra.io/companies/investment-brokerage/).

## Laws behind it

- [Financial Services and Markets Regulations 2015](https://protegra.io/licensing/laws/ae-adgm-fsmr-2015/): Financial Services and Markets Regulations 2015

## Sources

1. [en.adgm.thomsonreuters.com: 7541](https://en.adgm.thomsonreuters.com/entiresection/7541): retrieved 2026-09-24
2. [en.adgm.thomsonreuters.com: financial services and markets regulations 2015 0](https://en.adgm.thomsonreuters.com/rulebook/financial-services-and-markets-regulations-2015-0): retrieved 2026-09-24
3. [en.adgm.thomsonreuters.com: prudential investment insurance intermediation and banking r](https://en.adgm.thomsonreuters.com/rulebook/prudential-investment-insurance-intermediation-and-banking-rulebook-pru-ver21160926): retrieved 2026-09-24
4. [en.adgm.thomsonreuters.com: 12521](https://en.adgm.thomsonreuters.com/entiresection/12521): retrieved 2026-09-24
5. [adgm.com: firms](https://www.adgm.com/public-registers/fsra/firms): retrieved 2026-09-24
6. [en.adgm.thomsonreuters.com: 7993](https://en.adgm.thomsonreuters.com/entiresection/7993): retrieved 2026-09-24

Last verified 2026-09-24 · Author: Danil Marmysh · Reviewed by Anastasia Sidorenkova · © Protegra. Data: CC BY 4.0, cite "Protegra Licensing Atlas". Not legal advice.