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SCA Services in
United Arab Emirates

Navigate the complexities of United Arab Emirates's capital markets. Secure your license for Asset Management, Advisory, or Fintech innovation.

Consult on SCA Licensing

United Arab Emirates's financial market is the largest in the region. The Securities and Commodities Authority (SCA) regulates all securities activities, from stock market listings to licensing investment funds and advisory firms. We provide specialized legal and operational support to help you obtain the necessary authorizations to operate in this high-growth sector.

Role of SCA

The SCA is responsible for regulating the UAE Financial Markets (ADX & DFM) and overseeing all entities dealing in securities. Its mission is to protect investors, ensure fairness and efficiency in the market, and promote transparency.

Fintech Sandbox: Similar to CBUAE's sandbox, the SCA Fintech Regime allows entrepreneurs to test innovative capital market solutions (like Robo-advisory or Crowdfunding) with relaxed regulatory requirements.

Core Licensing Services

We facilitate the licensing process for all regulated activities.

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Asset Management Licenses to manage public and private investment funds or DPMs.
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Arranging & Advising Advising on corporate finance, M&A, and placing securities.
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Fintech Lab Permit Permits for Equity Crowdfunding, Robo-advisory, and Social Trading.
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Custody Services Safeguarding assets and securities on behalf of clients.

Path to Authorization

Becoming an "Authorized Person" (AP) typically involves:

Preparation Developing business plan, organization structure, and compliance manuals.

Recruitment Hiring key qualified personnel: CEO, Compliance Officer, Finance Manager.

Fit & Proper SCA interviews and exams (CISI) for nominated staff.

Inspection On-site visit to verify systems, office security, and capital adequacy.

Investment Products

Real Estate Investment Funds (REITs)
Private Equity & Venture Capital Funds
IPO Management & Advisory

Debt Instruments (Sukuk/Bonds)
Equity Crowdfunding Platforms
Prudential Reporting

Why Capital Matters

Capital adequacy is a primary pillar of SCA regulations. Required minimum capital varies by activity:

Managing

Requires higher paid-up capital (e.g., AED 20M+) to ensure firm stability.

Arranging

Lower capital requirements (e.g., AED 2M) as it involves less risk than holding assets.

Advising

Requires minimal capital (e.g., AED 1M) but high qualification of staff.

Strategic Value

Market Trust SCA licensing is a gold standard of credibility for investors.
Direct Listings Ability to guide companies onto DFM/ADX or the Growth Market.
Institutional Capital Access to manage funds for government bodies and large family offices.

Frequently Asked Questions

Registered persons must pass the CISI (General Securities Qualification) and potentially Risk/Compliance exams depending on their role.

It is a legislative environment that allows testing of Fintech products related to securities (e.g., Roboadvisors, Social Trading) without meeting full capital or license requirements initially.

Once a complete application is submitted, the SCA reviews it within a set statutory period (usually 30-90 days), but preparation often takes 3-6 months beforehand.

Yes, foreign financial institutions can own 100% of a capital market institution in United Arab Emirates, subject to UAE Ministry of Economy licensing and CMA approval.

Unlock UAE Capital Markets

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SCA Services in United Arab Emirates