License to be a stockbroker in uae


Providing Trust services Managing a collective investment fund The DIFC has developed into a leading financial services centre and is home to a number of global and local financial institutions.

Managing a collective investment fund Dealing in investments as agent 6. Effecting contracts of insurance The DFSA should respond within two working days of the submission meeting to confirm whether the application meets the regulatory requirements and is materially complete. Operating a clearing house

Details and instructions on how to disable those cookies are set out at nortonrosefulbright. Acting as the trustee of a fund Advising on financial products or credit 9.

Details and instructions on how to disable those cookies are set out at nortonrosefulbright. Advising on financial products or credit 9. DIFC firms have addressed these risks in a variety of ways, by:.

Operating a representative office. The DIFC has developed into a leading financial services centre and is home to a number of global and local financial institutions. By continuing to use this website you agree to our use of our cookies unless you have disabled them. Carrying out contracts of insurance

Arranging credit or deals in investments 7. DIFC firms have addressed these risks in a variety of ways, by: Such a branch could apply for any DFSA licence category and license to be a stockbroker in uae DFSA would waive the prudential requirements for that foreign company, if it were subject to the financial regulations of the home jurisdiction. While there is clearly a point at which a company will be operating outside the scope of its licence, this is often seen as a risk assessment point or management issue. There are also five different categories of licence.