Financial Services Permission for Advising on Investments or Arranging Deals in Investments (Category 4) (Abu Dhabi Global Market (ADGM))
The Financial Services Permission for Advising on Investments or Arranging Deals in Investments (Category 4) is issued by Financial Services Regulatory Authority (FSRA) under the Financial Services and Markets Regulations 2015. The official register lists 255 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 Advising on Investments or Arranging Deals in Investments (Category 4)1 |
|---|---|
| Issued by | Financial Services Regulatory Authority |
| Jurisdiction | Abu Dhabi Global Market (ADGM) |
| Licence family | Investment firm / broker-dealer |
| Legal basis | Financial Services and Markets Regulations 20152 FSRA Prudential: Investment, Insurance Intermediation and Banking Rulebook (PRU)3 |
| Passporting | Domestic only |
| Statutory decision time | Within a reasonable time from submission of a complete application4 |
| Public register | official register5 |
| Current holders | 2555 |
What it lets you do
- Investment advice. Giving personal recommendations to a client about one or more transactions in financial instruments.
- Reception and transmission of orders. Receiving client orders in financial instruments and passing them to another firm for execution.
Where it is valid
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
- Financial Services and Markets Regulations 2015: Financial Services and Markets Regulations 2015
Sources
- en.adgm.thomsonreuters.com: 7556 · retrieved 2026-09-24
- en.adgm.thomsonreuters.com: financial services and markets regulations 2015 0 · retrieved 2026-09-24
- en.adgm.thomsonreuters.com: prudential investment insurance intermediation and banking r · retrieved 2026-09-24
- en.adgm.thomsonreuters.com: 12521 · retrieved 2026-09-24
- adgm.com: firms · retrieved 2026-09-24
- en.adgm.thomsonreuters.com: 7993 · retrieved 2026-09-24
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