Finance & Regulations

A Step-by-Step Guide to Filing, Registration, or Reporting Obligations under DFSA Conduct of Business – Client Assets and Suitability

by

Introduction to DFSA Conduct of Business The Dubai Financial Services Authority (DFSA) is a key regulatory body that oversees financial services within the Dubai International Financial Centre (DIFC). Established in 2004, the DFSA aims to foster an innovative financial sector while ensuring compliance with high standards of conduct and consumer protection. One of the critical … Read more

A Comprehensive Comparison of ADGM ENF Enforcement Rulebook with DIFC and Other UAE Free Zones

by

Introduction to ADGM ENF Enforcement Rulebook The Abu Dhabi Global Market (ADGM) is a globally recognized financial center located in the capital of the United Arab Emirates. Its regulatory framework is designed to ensure a secure, transparent, and efficient market environment, attracting international businesses and investors. A pivotal element of this framework is the ADGM … Read more

Compliance Checklist for Businesses Operating in ADGM: A Guide Derived from the Enforcement Rulebook

by

Introduction to ADGM and Its Regulatory Environment The Abu Dhabi Global Market (ADGM) stands out as a prominent financial free zone in the United Arab Emirates, established with the intent to foster economic growth and diversification. Functioning as an international financial center, ADGM provides a robust platform for financial institutions and businesses seeking to operate … Read more

An FAQ-Style Primer on DFSA Conduct of Business (COB) Module for Non-Lawyers in DIFC, Dubai

by

Introduction to DFSA and the Conduct of Business Module The Dubai Financial Services Authority (DFSA) serves as the independent regulator for financial services operating within the Dubai International Financial Centre (DIFC). Established in 2004, the DFSA aims to promote and protect the interests of investors, maintain the integrity of the financial services sector, and ensure … Read more