The formal identifiers institutional counterparties look for.
- Arranging Deals in Investments
- Advising on Investments or Credit
- Arranging Custody
- Managing a Collective Investment Fund
- Managing Assets
The practical meaning of each authorisation.
Managing a Collective Investment Fund
Permission to act as the regulated manager of a collective investment fund incorporated or registered in the ADGM. This is the core ManCo authorisation — the basis for every fund NWM hosts. It allows NWM to take regulatory responsibility for the fund's operation, governance, and investor protection.
Managing Assets
Permission to manage investment portfolios on a discretionary basis. Relevant both to the fund mandate (managing fund assets) and to the wealth-management mandate (managing discretionary portfolios for individual, family-office, and institutional clients).
Arranging Deals in Investments
Permission to arrange transactions in regulated investments on behalf of clients. Supports execution-only and execution-with-advice mandates alongside discretionary management.
Advising on Investments or Credit
Permission to provide personal recommendations on investments or credit products to clients, including portfolio construction, asset allocation, and product selection.
Arranging Custody
Permission to arrange custody of client assets with authorised custodians. NWM does not hold client assets directly; custody is delegated to regulated third-party custodians, with NWM coordinating the relationship and ensuring appropriate segregation.
Client eligibility: Professional Clients only
NWM serves only Professional Clients as defined in the FSRA Conduct of Business Rulebook. This includes institutional investors, qualified family offices, UHNW individuals meeting the FSRA's wealth and sophistication criteria, and eligible corporate clients. Retail clients are outside the firm's scope.
Ongoing regulatory oversight
NWM is subject to ongoing FSRA supervision, including periodic regulatory returns, annual audits, operational risk assessments, AML/CFT compliance reporting, and client-asset protection requirements. The compliance function is in-house and led by the Compliance Manager.
Verify authorisation
NWM's current regulatory status can be verified directly at the ADGM public registers and the FSRA Financial Services Register. For any question on NWM's authorisation scope, the firm's Compliance function responds directly.