Dealing in Securities

​

The UAE Securities and Commodities Authority (“SCA”) is tasked with monitoring and regulating the UAE’s financial markets including the Dubai Financial Market (“DFM”), the Abu Dhabi Securities Exchange (“ADX”) and the Dubai Gold & Commodities Exchange (“DGCX”). Furthermore, SCA Regulates all securities-related activity within the UAE excluding activity within the Dubai International Financial Centre (“DIFC”) and the Abu Dhabi Global Market (“ADGM”). Any person or entity that wishes to carry out securities or commodities-related activities in the UAE must obtain authorisation from the SCA. This includes investment companies, brokerage firms, and other financial institutions.

​

Generally, however, applicants must demonstrate that they have sufficient financial resources, a good reputation, a business plan, necessary experience and qualifications, as well as the ability to comply with relevant regulations.