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Prospectus 2024
Emirates NBD Bank PJSC U.S.$20,000,000,000 EMTN Programme
DIB Sukuk Limited U.S.$7,500,000,000 Trust Certificate Issuance Programme
EI Sukuk Company Ltd US$2,500,000,000 Trust Certificate Issuance Programme
Binghatti Sukuk SPC Limited U.S.$300,000,000 Trust Certificates (due 2027)
ICD Funding 2 Limited AED 4,000,000,000 Euro Medium Term Note Programme
SIB Sukuk Company III Limited U.S.$3,000,000,000 Trust Certificate Issuance Programme
Arada Sukuk 2 Limited U.S.$1,000,000,000 Trust Certificate Issuance Programme
Warba Sukuk Limited U.S.$2,000,000,000 Trust Certificate Issuance Programme
Emirates NBD Bank PJSC U.S.$20,000,000,000 Euro Medium Term Note Programme
Binghatti Sukuk SPC Limited U.S.$200,000,000 Trust Certificates (due 2027)
Agricultural Bank of China Limited U.S.$15,000,000,000 Medium Term Note Programme
Bank of China Limited U.S.$40,000,000,000 Medium Term Note Programme
Sobha Sukuk Limited U.S.$230,000,000 Trust Certificates (due 2028)
DAE Funding LLC Global Medium Term Note Program
DIB Tier 1 Sukuk (6) Limited U.S.$500,000,000 Additional Tier 1 Capital Certificates
Prospectus 2023
Emirates NBD Bank PJSC U.S.$20,000,000,000 Euro Medium Term Note Programme
Industrial and Commercial Bank of China Limited U.S.$20,000,000,000 Global Medium Term Note Programme
DIB Sukuk Limited US$7,500,000,000 Trust Certificate Issuance Programme
EI Sukuk Company Ltd. U.S.$2,500,000,000 Certificate Issuance Programme
MAF Global Securities Limited U.S.$3,000,000,000 Global Medium Term Note Programme
MAF Sukuk Ltd. U.S.$3,000,000,000 Trust Certificate Issuance Programme
Depa PLC 750,000,000 Class A Ordinary Shares
Arada Sukuk Limited U.S$500,000,000 Trust Certificates (due 2027)
ICD FUNDING 2 LIMITED AED 4,000,000,000 Euro Medium Term Note Programme
Dar Al-Arkan Sukuk Company Ltd. U.S.$2,500,000,000 Trust Certificate Issuance Programme
Sobha Sukuk Limited
APICORP Sukuk Limited Trust Certificate Issuance Programme
Emirates NBD Bank PJSC U.S.$20,000,000,000 Euro Medium Term Note Programme
DP World Limited U.S.$10,000,000,000 Global Medium Term Note Programme
DP World Crescent Limited U.S.$5,000,000,000 Trust Certificate Issuance Programme
Bank of China Limited U.S.$40,000,000,000 Medium Term Note Programme
FIVE Holdings (BVI) Limited U.S.$350,000,000 9.375 per cent. Senior Secured Notes due 2028
SIB Sukuk Company III Limted U.S$3,000,000,000 Trust Certificate Issuance Programme
Industrial and Commercial Bank of China Limited U.S.$20,000,000,000 Global Medium Term Note Programme
Emirates Development Bank P.J.S.C. US$3,000,000,000 Euro Medium Term Note Programee
China Construction Bank (DIFC Branch) U.S.$600,000,000 Floating Rate Senior Green Notes (due 2026)
Prospectus 2022
DIB Sukuk Limited U.S.$7,500,000,000 Trust Certificate Issuance Programme - Supplement
Capital Bank of Jordan U.S.$100,000,000 Perpetual Additional Tier 1 Capital Securities
Industrial and Commercial Bank of China Limited U.S.$20,000,000,000 Global Medium Term Note Programme
MAF Global Securities Limited U.S.$3,000,000,000 Global Medium Term Note Programme
Warba Sukuk Limited U.S.$2,000,000,000 Trust Certificate Issuance Programme
Dar Al-Arkan Sukuk Company Ltd. U.S.$2,500,000,000 Trust Certificate Issuance Programme
Emirates NBD Bank PJSC U.S.$20,000,000,000 Euro Medium Term Note Programme
MAF Sukuk Ltd. U.S$3,000,000,000 Trust Certificate Issuance Programme
21Shares AG
DIB Sukuk Limited U.S.$7,500,000,000 Trust Certificate Issuance Programme
Bank of China Limited U.S.$40,000,000,000 Medium Term Note Programme
Prospectus 2021
DAE Funding LLC US.$2,500,000,000 Global Medium Term Note Programme
Emirates NBD Bank PJSC
DIB Sukuk Limited U.S.$7,500,000,000 Trust Certificate Issuance Programme
MAF Global Securities Limited U.S.$3,000,000,000 Global Medium Term Note Programme
DIB Tier 1 Sukuk (5) Ltd. US$500,000,000 Additional Tier 1 Capital Certificates
China Construction Bank Corporation and China Construction Bank Corporation Hong Kong Branch, U.S.$15,000,000,000 Medium Term Note Programme
Emirates NBD Bank PJSC U.S.$750,000,000 Perpetual Additional Tier 1 Capital Securities
Emirates Development Bank PJSC US$3,000,000,000 Euro Medium Term Note Programme
DIB Sukuk Limited U.S.$7,500,000,000 Trust Certificate Issuance Programme
Ahli United Perpetual Sukuk Ltd. U.S$600,000,000 Tier 1 Capital Certificates
The Bitcoin Fund
Emaar Sukuk Limited U.S$2,000,000,000 Trust Certificate Issuance Programme
Emirates NBD Bank PJSC US$20,000,000,000 Euro Medium Term Note Programme
MAF Sukuk Ltd. US$3,000,000,000 Trust Certificate Issuance Programme
The Bitcoin Fund US$200,000,000 Short Form Base Shelf Prospectus
APICORP Sukuk Limited Trust Certificate Issuance Programme
EI Sukuk Company Ltd. U.S.$2,500,000,000 Certificate Issuance Programme
Warba Tier 1 Sukuk (2) Limited US$250,000,000 Tier 1 Capital Certificates
SIB Sukuk Company III Limited US$3,000,000,000 Trust Certificate Issuance Programme
Disclosure Database
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Official List of Securities
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MB 20 - DFSA Listing Regime for SMEs (Updated November 2020)
MB 23 - Covid-19 disclosures in Annual Financial Statements of Reporting Entities
MB 24 - Suspicious Transaction and Order Reports (STOR)
MB 25 - Special Purpose Acquisition Companies (SPACs)
MB 26 - DFSA Best Practice Guidelines on ESG Bonds
MB 27 - Disclosure considerations relating to ESG and climate change related matters
Delisted Securities
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A DFSA Guide to Listing in the DIFC.
Speeches
16 May 2024 - Ian Johnston, Keynote Speech: Institute and Facility of Actuaries Middle East Conference
15 May 2024 - Ian Johnston, Keynote Speech: A Modern Regulator for the Future of Finance - HFM Middle East Summit
7 June 2023 - Peter Smith: Sustainable finance: the regulator's perspective - GEFI/DIFC Path to COP28 Sustainable Finance Summit
23 November 2022 - In an ever-changing world, good governance remains essential - Ian Johnston, Chief Executive, The Wealth Today Governance, Risk and Compliance Summit
23 March 2022 - The Digital Path for Financial Industry – Innovation for Sustainable Growth - F. Christopher Calabia, Chief Executive, The Finance Today Summit
17 February 2022 - “Insuring” a Sustainable Future is Not Science Fiction - F. Christopher Calabia, Chief Executive, DIFC Insurance Association Webinar
17 November 2021 - F. Christopher Calabia, Chief Executive, Opening Remarks DFSA Sustainable Finance Task Force
16 November 2021 - F. Christopher Calabia, Chief Executive, Opening Remarks DFSA Cyber Risk Forum
16 June 2021 - Peter Smith, Managing Director, Head of Strategy, Policy and Risk, "The DFSA's Innovation Agenda" RegTech Live
16 June 2021 - Justin Baldacchino, Managing Director, Supervision "The DFSA's Supervisory Priorities" RegTech Live
16 June 2021 - Elisabeth Wallace, Senior Manager, Strategy, Policy and Risk, "Crypto Asset Update" RegTech Live
Presentations
Outreach Presentation: Complaints Handling and Disclosures, Marketing Materials and Financial Promotions
Suspicious Activity Reports Outreach Session: Key Themes & Findings - June 2024
Brokerage Business Models Outreach: Conduct Supervision and Enforcement - March 2024
Private Banking Business Models Outreach: Conduct Supervision and Enforcement - March 2024
DFSA Outreach Session on the 2023 Representative Office Sectoral Review - October 2023
DFSA Annual Supervision Outreach 2023 - Morning Session Presentation - 31 May 2023
31 May 2023 - DFSA Annual Supervision Outreach 2023 - Breakout Group One: Authorisations
31 May 2023 - DFSA Annual Supervision Outreach - Breakout Group Two: Risk Assessments and Thematic Reviews
31 May 2023 - DFSA Annual Supervision Outreach - Breakout Group Three: Prudential and Conduct of Business Risks
31 May 2023 - Annual Supervision Outreach 2023 - Breakout Session Four: Innovation and Technology Risk Supervision
6 September 2022 - DFSA Outreach Session on the 2020/2021 Representative Office Sectoral Review
17 June 2021 - DFSA Private Sector Outreach DNFBPs
13 June 2021 - DFSA Private Sector Outreach Financial Institutions
29 March 2021 - Suitability Outreach
FAQs
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Publications & Reports
Annual Report
DFSA Annual Report 2020
Business Plan
DFSA Business Plan 2023/2024
DFSA in Action
DFSA In Action, Volume 21, June 2023
DFSA In Action, Volume 20, December 2022
DFSA In Action, Volume 18, December 2021
Annual Anti-Money Laundering Reports
DFSA Annual Anti-Money Laundering Return Report.
Thematic Review on Brokerage Anti-Money Laundering (AML) 2021
Audit Monitoring Reports
DFSA Audit Monitoring Report 2022-2023
DFSA Audit Monitoring Report 2020-2021
Climate and Environmental Risk Management
Climate and Environmental Risk Management
Cyber Reports
Cyber Simulation Post-exercise Report 2023
Explainers
Regulation of Crypto Tokens
What is the DFSA's Public Register?
Incorporated is not the same as Authorised or Licensed
Greenwashing Explained
The Financial Markets Tribunal
What is Buy Now Pay Later (BNPL)?
The DFSA's Whistleblowing Regime
DFSA Leaflets
About the DFSA
A Guide to Making a Complaint to the DFSA
Applying for DFSA Authorisation: A guide for firms seeking authorisation as an Authorised Firm
Applying for Recognition in the DFSA: A guide for firms seeking status as Recognised Members
Applying for Recognition in the DFSA: A guide for exchanges, clearing houses or settlement facilities seeking status as a Recognised Body
DFSA Leaflet
Tomorrow's Regulatory Leaders Programme
DFSA themes
A Guide to the DIFC Financial Promotions Prohibition
Funds in the DIFC
Islamic Finance Regulation in the DFSA
Outcome of the DFSA’s Key Policy Review 2008
Anti-Money Laundering and Combating the Financing of Terrorism: The DFSA Approach
DFSA Reports
The Resilience of DIFC-Based Financial Institutions to the Covid-19 Pandemic
Progress Report 2020 - The DFSA's Innovation Programme.
Markets Publications
MB 20 - DFSA Listing Regime for SMEs (Updated November 2020)
MB 23 Covid-19 disclosures in Annual Financial Statements of Reporting Entities
MB 24 - Suspicious Transaction and Order Reports (STOR)
MB 25 - Special Purpose Acquisition Companies (SPACs)
MB 26 - DFSA Best Practice Guidelines on ESG Bonds
MB 27 - Disclosure considerations relating to ESG and climate change related matters
SEO Letters
2024
Collective Investment Rules Reporting Requirements
Artificial Intelligence Survey
2023-2024 Thematic Review on Firm Disclosures
2023 DFSA Risk Assessments: Brokerage Business Models
2023 DFSA Risk Assessments: Private Banking Business Models
Updated Regulatory Returns
DFSA Cyber Risk Thematic Review 2024
Fixed Penalty Notices
Whistleblowing Thematic Review 2024
2023
Dear SEO Letter: Outcomes of 2023 Representative Office Sectoral Review
Dear SEO Letter: Complaints Handling Thematic Review 2023
Dear SEO Letter: UAE Ministry of Finance consultation on application of the UAE Corporate Tax Law to the Free Zones
Dear SEO Letter: Recent systemic supply chain cyber-attack
Dear SEO Letter: Arranging Activities Vs Referrals
Dear SEO Letter: LIBOR Transition - Cessation of USD LIBOR Panel
Dear SEO Letter: DIFC Crypto Token Regime - End of Transitional Period
Dear SEO Letter: Updated Regulatory Returns
Dear SEO Letter: DIFC Crypto Token Regime - Transitional Period
Dear SEO Letter: Operating a Crowdfunding Platform in or from the DIFC
Dear SEO Letter: Disclosures Thematic Review 2023
Dear SEO Letter: Financial Promotions
Change of Reporting Requirements - CIR Notification of the Marketing and Selling of Funds
2022
Dear SEO Letter: Thematic Review on Outsourcing and Third-Party Risk
Dear SEO Letter: DFSA Cyber Thematic Review Report 2022
Dear SEO Letter: DFSA Cyber Thematic Review
Dear SEO Letter: The Financial Action Task Force (FATF) Decision in relation to the United Arab Emirates (UAE)
Dear SEO Letter: Whistleblowing Regime
Dear SEO Letter: Remote Working
Dear SEO Letter: DFSA thematic reviews covering three core areas: trade finance, correspondent banking, and electronic funds transfers
Dear SEO Letter: Hosting Group related staff in the DIFC
Dear SEO Letter: Regulatory Notifications
Dear SEO Letter: DFSA Crypto Token Regime Survey
Dear SEO Letter: The Role of Money Laundering Reporting Officers at Relevant Persons
Dear SEO Letter: Outcomes of 2020/2021 Representative Office Sectoral Review
Stakeholder Surveys
Thematic Reviews
Thematic Review 2024: Complaints Handling
Liquidity Review 2024
Cyber Thematic Review 2022
Trade Finance, Correspondent Banking and Electronic Funds Transfers Report 2021
Financial Crime Prevention Programme Report 2019-2021
Financial Crime Prevention Programme Report 2019-2021 Arabic
DFSA Financial Crime Prevention Programme 2018 AML Report
DFSA Alerts
Alerts
How to avoid being scammed
Media Releases
2024
2023
2022
2021
News
DFSA takes action against a Senior Executive Officer
Notice of Amendments to Legislation
DFSA strengthens relationship with Isle of Man Financial Services Authority
Dubai Financial Services Authority Hosts 11th Annual Audit Outreach for Registered Auditors
DFSA Issues Regulatory Policy and Process Module February 2020 Edition
DFSA to become a Signatory to the IOSCO Enhanced Multilateral Memorandum of Understanding: A First for the GCC
DFSA hosts IFIAR's Leadership
DFSA supports National Cybersecurity Strategy by Launching a Cyber Threat Intelligence Platform
Notice of Amendments to the DFSA Forms
Notice of Amendments to the DFSA Forms
The DFSA signs Guiding Principles on Sustainable Finance together with Leading Authorities in the UAE
Notice of Amendments to Legislation
DFSA takes action against Morgan Gatsby Limited for multiple serious breaches
DFSA to launch Cyber Threat Intelligence Platform
Former Compliance Officer fined and restricted from working in the DIFC
Notice of Amendments to Legislation
DFSA and Commission de Surveillance du Secteur Financier sign Financial Innovation agreement
Public Holiday Notification
Leading UAE Authorities, Financial Exchanges Form Working Group to Advance Sustainable Finance Practices, Investments
DFSA extends MoU with Chinese regulatory body CBIRC
Notice of Consultation Paper Release
Notice of Consultation Paper Release
DFSA participates in Singapore FinTech Festival
Saudi Arabian Monetary Authority’s first MoU in Riyadh signed with the DFSA
Notice of Consultation Paper Release
The DFSA invites applications for its 2020 Regulatory Sandbox ‘Winter Cohort’
DFSA Action Concerning Chairman and SEO Referred to Financial Markets Tribunal
The DFSA authorises its 500th financial firm
DFSA participates in IOSCO’s World Investor Week
Notice of Amendments to the DFSA Forms
DFSA Issues Feedback Statement on Consultation Paper No. 124
Notice of Amendments to the DFSA Forms
Holiday Notification
DFSA signs MoU with the Central Bank of Egypt
DFSA fines two Abraaj group companies a total of USD 315 million for deceiving investors and the regulator
DFSA Publishes 2018 Annual Report
The DFSA joins Network for Greening the Financial System
DFSA signs MoU with Smart Dubai
DFSA suspends licence of Rasan Capital Limited
Holiday Notification
Financial Markets Tribunal upholds the DFSA’s withdrawal of Royal Shield Ltd’s Licence
DFSA to Participate in Cross-Border Testing as part of the Global Financial Innovation Network
DFSA takes action to protect the integrity of Islamic Finance
DFSA hosts Financial Crime Conference
DFSA and Standard Chartered Bank focus on curbing illicit wildlife trade
Notice of Amendments to the DFSA Forms
DFSA signs MoU with Bank Al Maghrib
ESCA, ADGM AND DFSA Launch Fund Passporting Legislation Enabling UAE-Wide Promotion of Investment Funds
DFSA Restricts Former Relationship Manager Arnab Mukherjee
DFSA Publishes its Business Plan 2019/2020
Dubai Financial Services Authority hosts 10th Annual Audit Outreach for Registered Auditors
Notice of Amendments to the DFSA Forms
DFSA Suspends licence of Morgan Gatsby Limited
DFSA Publishes the DFSA in Action
Notice of Amendments to the DFSA Forms
Public Holiday Notification
Notice of Consultation Paper Release
Notice of Consultation Paper Release
DFSA hosts Authorisation Outreach and Stakeholder Roundtable
DFSA signs MoU with Bank Negara Malaysia
Public Holiday Notification
Notice of Consultation Paper Release
SCA, the DFSA and the ADGM’s FSRA reach agreement on the licensing and promotion of investment funds
Public Holiday Notification
Robo-advisory Firm Sarwa, First to Graduate from DFSA’s Regulatory Sandbox
DFSA publishes a report on the DIFC Over-the-Counter (OTC) Fixed Income Securities Market
Mohammed bin Rashid Enacts DIFC Regulatory Amendment Law
DFSA signs FinTech Agreement with Japan’s Financial Services Agency
DFSA Board Appoints Bryan Stirewalt as Next Chief Executive
Public Holiday Notification
DFSA and Monetary Authority of Singapore Sign FinTech Agreement
Public Holiday Notification
Abraaj Capital Limited
DFSA Joins Peers in discussion on a Global Financial Innovation Network
Notice of Amendments to the DFSA Forms
Notice of Amendments to Legislation
DFSA Hosts 4th Annual Supervision Session
Update - Abraaj Capital Limited
DFSA signs MoU with Astana Financial Services Authority
Holiday Notification
Statement on Abraaj Capital Limited
DFSA Expands FinTech Innovation Testing Programme
Notice of Consultation Paper Release
DFSA Hosts Accounting Standard-Setters for Islamic Finance
Notice of Amendments to the DFSA Forms
Notice of Consultation Paper Release
Notice of Consultation Paper Release
DFSA Hosts Annual Audit Outreach
DFSA Signs MoU with Central Bank of Oman
DFSA Publishes Findings of Client Classification and Suitability Review
DFSA and Central Bank of Bahrain sign MoU
Public Holiday Notification
Notice of Amendments to the DFSA Forms
DFSA hosts Lord Mayor of the City of London
DFSA signs FinTech agreements with Hong Kong authorities
Holiday Notification
DFSA and ASIC sign FinTech agreement
DFSA in Action
DFSA Grants Sarwa Digital Wealth Ltd In-Principle Approval for Innovation Testing Licence
DFSA Continues to Develop its Funds Regime
Notice of Consultation Paper Release
DFSA to co-host 2nd Annual FinTech Summit
DFSA Censures Finance Officer
Holiday Notification
DFSA Signs MoU with Lebanon’s CMA
DFSA and Malaysia’s Securities Commission sign FinTech Agreement
Notice of Consultation Paper Release
Maktoum bin Mohammed appoints two new members to DFSA’s Board of Directors
DFSA and Hong Kong’s SFC sign FinTech Cooperation Agreement
DFSA Action against Former DIFC Employee
Notice of Amendments to the DFSA Forms
DFSA launches Crowdfunding Framework
DFSA Fines and Bans former Senior Executive Officer
Holiday Notification
DFSA Publishes 2016 Annual Report
DFSA launches Innovation Testing Licence for FinTech Firms
DFSA Takes Action against Senior Executive Officer
DFSA, FinTech Hive at DIFC, Hawkamah Institute and MEIRA host seminar on FinTech in the Middle East
DFSA Hosts 3rd Annual Supervision Outreach Session
DFSA Co-hosts Seminar on Islamic Finance
DFSA Censures Individual for Misleading Conduct
DFSA Signs International Agreement on Audit Oversight
DFSA Hosts Annual Audit Outreach
DFSA Strengthens Dubai’s Financial Technology Proposition
DFSA Hosts Outreach on International Financial Reporting Standard (IFRS) 9
DFSA Signs MoU with European Securities and Markets Authority
DFSA honours graduates of prestigious Tomorrow Regulatory Leaders Programme
DFSA Launches Second Consultation into Crowdfunding Framework to support SME Financing
Notice of Amendments to the DFSA Forms
DFSA to co-host the 11th Annual MENA Regulatory Summit
DFSA Issues the Regulatory Policy and Process Module February 2017 Edition
DFSA Issues Reminder to Authorised Firms Regarding Funds Reporting
DFSA Deepens Ties with Hong Kong and Asia
DFSA Publishes its Business Plan 2017/2018
DFSA Publishes Findings of Trade Finance Review in DIFC
DFSA’s Framework Receives Regulatory Equivalency to European Union Regime
Public Holiday Notification
DFSA Hosts Outreach Event on Cyber Risks
Public Holiday Notification
Public Holiday Notification
Rasmala Investment Bank Limited Resolves Compliance Concerns with the DFSA
The DFSA Publishes Trade Finance Report
Public Holiday Notification
The DFSA Publishes The DFSA in Action
DFSA Strengthens Regional Regulatory Co-operation
DFSA Fines Clements (Dubai) Limited
Notice of Consultation Paper Release
Public Holiday Notification
DFSA Strengthens Regulatory Co-operation in the UAE
European Commission Recognises DFSA's Audit Oversight System
Public Holiday Notification
DFSA 2015 Annual Report
Notice of Consultation Paper Release
DFSA Hosts Annual Supervision Outreach Session
The DFSA Signs MoU with the Telecommunications Regulatory Authority
DFSA Hosts Outreach on Extended Audit Reports
DFSA Restricts Former Trader Noyan Ayhan
DFSA Fines Former Licensed Directors
Public Holiday Notification
DFSA Hosts Outreach on Corporate Governance and Investor Relations
The DFSA and Society of Lloyd’s establish a Framework for Co-operation
DFSA Makes Changes to the Collective Investment Rules
Notice of Amendments to the DFSA Sourcebook
Proposed Designation of NASDAQ Dubai as the National Numbering Agency in the Dubai International Financial Centre
Public Holiday Notification
DFSA Censures MAS Clearsight and Directs it to Compensate Investors
Notice of Consultation Paper Release
Public Holiday Notification
DFSA Facilitates Certification of 10 UAE Nationals in the Fundamentals of Islamic Banking and Finance
DFSA fines ABN AMRO for Anti-Money Laundering Deficiencies
Interview with the DFSA Chief Executive, Ian Johnston
The DFSA Hosts Workshop on Fundamentals of Islamic Banking and Finance
Public Holiday Notification
The DFSA Publishes The DFSA in Action, Volume 12, 2015
Notice of Amendments to the DFSA Forms
Notice of Amendments to the DFSA Forms
Public Holiday Notification
Interview with the DFSA Chief Executive, Ian Johnston
The DFSA Appoints New General Counsel
Dubai Eye Business Breakfast
Ian Johnston at the Baoa Forum Sydney
Arqaam Capital Limited Resolves Compliance Deficiencies with the DFSA
Public Holiday Notification
Notice of Amendments to Legislation
DFSA Signs MoU with Kuwaiti Counterpart
DFSA Fines United Investment Bank Limited
The DFSA and the DIFC Registrar of Companies Cohost FATCA Outreach Workshop
DFSA Publishes its 2014 Annual Report
DFSA Publishes Client Classification Regime Q&As
Dubai Delegation Visits India to Promote Collaboration Between The Financial Centres
DFSA Takes Action Against Hany Lotfy Awwad Abdelwahab
Notice of Amendments to the DFSA Forms
DFSA Fines Deutsche Bank AG for Serious Breaches
Notice of Amendments to the DFSA Forms
Notice of Amendment to the DFSA Sourcebook
Proposed Changes to the Client Classification Regime
DFSA Publishes its Business Plan 2015/2016
Public Holiday Notification
DFSA Congratulates UAE National Graduates
DFSA and DIFC Host Hong Kong Leaders Visiting the UAE
Notice of Consultation Paper Release
Public Holiday Notification
DFSA Statement: ES Bankers (Dubai) Limited
Regulatory Policy and Process Module November 2014 Edition
DFSA Clarifies DIFC Courts Action
DFSA Publishes its Response to Public Comments on Consultation Paper No. 93
Public Holiday Notification
DFSA Releases Findings of Corporate Governance Review in DIFC
DFSA Congratulates UAE Nationals on Completion of Summer Training Programme
DFSA Welcomes Changes Resulting from New Amendment Law
Public Holiday Notification
Reappointment of DFSA Chairman and Board
DFSA Signs Agreement with UK Financial Regulator
Public Holiday Notification
Notice of Consultation Paper Release
Notice of Amendment to the DFSA Forms
DFSA Launches Bawabaty a Financial Services Awareness Initiative for the Local Community
Bawabaty a Financial Services Awareness
DFSA Obtains Court Orders Against Deutsche Bank AG
DFSA Obtains Court Orders
Public Holiday Notification
DFSA Signs Agreements With Italian Regulators
Public Holiday Notification
DFSA Clarifies DIFC Courts Action
DFSA Fines Unregistered Auditor
DFSA Commences DIFC Courts Action
Public Holiday Notification
Public Holiday Notification
DIFC Financial Adviser Banned by the DFSA
DFSA Disciplines Former Senior Executive of DIFC Firm
The DFSA Publishes The DFSA in Action
DIFC Private Banker Sanctioned by the DFSA
DFSA Sanctions United Investment Bank Limited
DFSA Signs 26 Agreements With EU Regulators
Public Holiday Notification
European Commission Recognises DFSA’s Audit Oversight System
DFSA Ramadan Timings
DFSA Publishes its response to public comments
Public Holiday Notification
DFSA Publishes its 2012 Annual Report
DFSA Hosts Event on Attracting UAE Nationals into the Financial Sector
DFSA Announces Appointment
Notice of Consultation Paper Release
Market Regulators Meet in the DIFC
DFSA Signs Agreement With European Securities and Markets Authority
DFSA Signs Agreement With European Securities
DFSA Publishes its Business Plan 2013/2014
Public Holiday Notification
Notice of Amendments to Legislation 23 December 2012
Notice of Consultation Paper Release
UAE Nationals Graduate From DFSA’s Leadership Programme
Public Holiday Notification
Public Holiday Notification
Public Holiday Notification
DFSA Promotes Continuous Professional Development
DFSA Sanctions Credit Europe Bank (Dubai) Limited and its Former Head of Treasury
DFSA Action in the Financial Markets Tribunal to be Made Public
Notice of Amendment to the DFSA Forms
DFSA Ramadan Timings
DFSA Introduces New Markets Law and Amendments to the Regulatory Law
Public Holiday
DFSA Meets Finance Leaders in Hong Kong and Singapore
DFSA Enters Into Agreement With China's Banking Supervisor
DFSA Board Announces Appointment of the Next Chief Executive
DFSA Publishes its 2011 Annual Report
DFSA Wins First Contested Case Before Regulatory Appeals Committee
DFSA Continues to Develop Emirati Regulatory Talent
DFSA Receives Delegation of Powers from the DIFC Registrar of Companies
DFSA Announces its Chief Executive to Step Down Later This Year
DFSA Announces Stakeholder Survey Results
DFSA Enters Into Statement of Protocol With US Audit Regulator
DFSA Introduces New Regime For Designated Non-Financial Businesses and Professionals
Notice of Amendment to the DFSA Forms
Notice of Consultation Paper Release
Notice of Amendments to Legislation
DFSA Enters Into Memorandum
The UAE Ministry of Economy and the DFSA Hosted Regional Audit Conference
Public Holiday
The DFSA Publishes The DFSA in Action Volume 8 2011
Appointment of DFSA Chairman and Board
Public Holiday Notification
Notice of Amendment to the Financial Markets Tribunal Rules of Procedure
DFSA Renews Ties With Swiss Counterpart
Public Holiday Notification
DFSA Strengthens Ties with the Reserve Bank of India
Notice of Consultation Paper Release
DFSA Signs MoU With UAE Insurance Authority
Notice of Consultation Release
Notice of Consultation Release
DFSA Introduces New Regime for Financial Services Marketing
DFSA Strengthens Ties With its Cayman Islands Counterpart
DFSA Board Extends Chief Executive’s Contract to 2013
DFSA Publishes its 2010 Annual Report
Public Holiday Notification
SEO Letter on MENA Region PEPs
DFSA Publishes its 2011/2012 Business Plan
DFSA Publishes The DFSA in Action, Volume 7, January 2011
Notice of Consultation Paper Release
Public Holiday Notification
DFSA Congratulates New UAE National Regulators
Public Holiday Notification
Notice of Amendment to the DFSA Forms
DFSA Signatory to IAIS Multi-lateral Memorandum of Understanding: A First for the GCC
DFSA Hosts Global Insurance Summit Tomorrow
DFSA Signs Accounting Standard-Setters MoU
DFSA Launches Arabic Website
SEO Letter on the Outcome of Thematic Review - Client Assets and Insurance Monies
DFSA Signs MoU With Banco de Portugal
SEO Letter on Notification of Theme Review - Corporate Governance
Notice of Amendment to the DFSA Forms
DFSA Publishes Funds Regime Leaflet and Q&A Document
Notice of Amendments to Legislation
DFSA Enters Into MoU With Danish Counterpart
DFSA Signs MoU With Canadian Banking Regulator
SEO Letter on United Nations Security Council Resolution 1929 (2010) and Related Matters
DFSA Signs MoU With Leading US Banking Regulator
International Association of Insurance Supervisors (IAIS) - Registration now open
Notice of Consultation Paper Release
SEO Letter on AML/CTF Alert - Financial Task Force Public Statements on High Risk Jurisdictions
SEO Letter on Outcome of Thematic Review - Anti-Money Laundering and Counter Terrorist Financing
DFSA Enters Into Memorandum of Understanding With French Markets Authority
DFSA Launches Islamic Finance Handbooks
Notice of Consultation Paper Release on Corporate Governance
DFSA Strengthens Ties With The QFC Regulatory Authority
Notice of Amendment to the DFSA Forms
DFSA to Host The Future of the Regulation of Takaful in February
Consumer Alert on Email Scams using DIFC
Notice of Amendments to the Rulebook
DFSA Issues Censure
Notice of Amendments to the Rulebook
Public Holiday Notification
DFSA Strengthens Ties With Securities and Exchange Board of India
DFSA Grants Recognition to NYSE Liffe US LLC
DFSA Meets Autorité des Marchés Financiers
Rulebook will be unavailable for one day only
DFSA Seeks Public Comment on Review of Funds Regime in the DIFC
Report by the Market Practitioner Panel
Damas International Limited
DFSA Consults on Islamic Finance Rules in the DIFC
Notice of Consultation Paper Release
DFSA Consults on Representative Office Regime for the DIFC
DFSA Congratulates UAE National Graduates
DFSA’s Statement on SAAD Financial Advisory Services Limited in the DIFC
SEO Letter on the Outcome of Theme Review - Outsourcing of Functions
Rulebook will be unavailable for one day only
DFSA Enters Into Memoranda of Understanding With South African Reserve Bank
DFSA Withdraws Licence From Libertas Capital (Dubai) Limited
DFSA Forms Panel to Review its Funds Regime
Notice of Consultation Paper Release
Appointment of DFSA's Paul Koster to Key International Accounting Standard Setters
Notice of Amendments to the Rulebook
SEO Letter on the Importance of UN Security Council Sanctions and Customer Due Diligence
DFSA Publishes its External Newsletter, The DFSA in Action
SEO Letter on Enhancements to our Supervisory Programme for Authorised Firms
SEO Letter on Suitability & Fair Treatment of Customers
Notice of Consultation Paper Release
DFSA Publishes Annual Report 2008 and Business Plan 2009/2010
DFSA Signs MoU With AMLSCU of the UAE
DFSA Signs MoU With UAE Central Bank
DFSA Signs MoU With Netherlands Central Bank
DFSA Signs MoU With Swedish Counterpart
Notice of Consultation Paper Release
DFSA Amends Policy on Licence Notification
DFSA Sanctions Former GFS Investments Compliance Officer
DFSA Chairman Announces Appointments to DFSA Board of Directors
DFSA approves withdrawal of licenses to conduct Financial Services in or from the DIFC
Notice of Amendments to the Rulebook
DFSA Licenses GE Capital Middle East & Africa Ltd as an Authorised Firm
DFSA Announcement
DFSA Licenses Dar International Investment Bank Limited as an Authorised Firm
DFSA Licenses Hana Bank as an Authorised Firm
DFSA Licenses Macquarie Capital Advisers (Dubai) Limited as an Authorised Firm
DFSA Licenses Levant Capital Limited as an Authorised Firm
DFSA Licenses Macquarie Capital Funds
DFSA Licenses Deloitte Corporate Finance Limited as an Authorised Firm
DFSA Licenses Pharos Financial Advisors Limited as an Authorised Firm
DFSA Licenses 300th Regulated Firm within DIFC
DFSA Licenses Cayman National (Dubai) Ltd as an Authorised Firm
DFSA Signs MoU With Taiwanese Regulator
DFSA Licenses Duet Mena Limited as an Authorised Firm
Notice of Amendments to the Rulebook
DFSA Licenses Rasameel Investment Bank Limited as an Authorised Firm
DFSA Signs MoU With Capital Market Authority of Oman
DFSA Licenses Sarasin-Alpen & Partners Limited as an Authorised Firm
DFSA Licenses Swiss Life Private Placement (Middle East) Limited as an Authorised Firm
DFSA Licenses Epic Investments Limited as an Authorised Firm
DFSA Licenses Vanbreda International (Dubai) Limited as an Authorised Firm
DFSA Licenses Mazaya Investments (DIFC) Limited as an Authorised Firm
DFSA Licenses BBY Dubai Limited as an Authorised Firm
DFSA Licenses Ryland Gray Investor Services (DIFC) Limited as an Authorised Firm
DFSA Licenses Lime Rock Dubai LLP as an Authorised Firm
DFSA Signs MoUs With Leading Asian Regulators
DFSA Licenses Renaissance Investment Management (Dubai) Limited as an Authorised Firm
DFSA Licenses Credit Europe Bank (Dubai) Ltd as an Authorised Firm
DFSA Sanctions Shuaa Capital for Market Abuse
DFSA Statement on Lehman Brothers in the DIFC
DFSA Announces Appointment of the Next CEO
DFSA Statement on Lehman Brothers in the DIFC
Notice of Amendments
DFSA Licenses Itaú Middle East Securities Limited as an Authorised Firm
DFSA Licenses Woori Bank as an Authorised Firm
DFSA Enforces Sanctions Against GFS Investments
Notice of Amendments to the Rulebook
DFSA Registers Vinson & Elkins as an Ancillary Service Provider
DFSA Licenses Sovereign Risk Insurance (Dubai) Limited as an Authorised Firm
DFSA Signs MoU With Banque de France
DFSA Licenses International General Insurance Company (Dubai) Limited as an Authorised Firm
DFSA Registers Kilpatrick Stockton LLP as an Ancillary Service Provider
DFSA Licenses Trimark Capital Limited as an Authorised Firm
DFSA Grants an Amended Licence to DIFX to Operate a Derivatives Exchange
DFSA Grants Recognition to the Chicago Board of Trade
DFSA Registers Zaid Ibrahim & Co as an Ancillary Service Provider
DFSA Licenses Agilis Global Limited as an Authorised Firm
DFSA Licenses Jasper Corporate Finance Limited as an Authorised Firm
DFSA Licenses Lionhart (Middle East) Limited as an Authorised Firm
DFSA Expands International Network
DFSA Licenses Eastgate Capital Group Limited as an Authorised Firm
DFSA Licenses Evolvence Capital International Limited as an Authorised Firm
DFSA Launches Refreshed Website
David Knott Speaks at Risk Korea 2008 Conference
DFSA Supports the UAE Government’s Measures to Address the Challenges of Covid-19
Notice of Extension of Deadline for Consultation Paper 131
DFSA Takes Measures to Support its Financial Community
DFSA published Markets Brief No. 20 - DFSA Listing Regime for SMEs
Dubai Financial Services Authority to host RegTech Live event
Region’s first Regtech event hosted by the Dubai Financial Services Authority and Dubai International Financial Centre
DFSA’s 2020 Summer Innovation Testing Licence Programme accepts largest number of innovative firms to date
Maktoum bin Mohammed issues Decision appointing DFSA Board
Notice of Consultation Paper Release
Notice of Consultation Paper Release
DFSA alerts institutions to increased risk of cyberattacks
Holiday Notification
UAE regulators and financial markets participate in IOSCO’s World Investor Week
Dubai Financial Services Authority to host second RegTech Live event
Notice of Amendments to Legislation
DFSA enforcement action against Al Masah upheld
DFSA opens applications for Innovation Testing Licence 2021 Winter Cohort
DFSA to host Cyber Risk Forum – Remaining resilient in the era of transformation and disruption
Global Financial Innovation Network invites firms to participate in cross-border testing
Notice of Consultation Paper Release
DFSA sanctions upheld against Dr Mubashir Sheikh for serious misconduct
Bryan Stirewalt, Chief Executive of the DFSA, to retire at the end of his term
Notice of Consultation Paper Release
Notice of Amendments to Legislation
DFSA publishes The DFSA In Action Volume – 17
DFSA publishes Markets Brief No. 23 Covid-19 disclosures in Annual Financial Statements of Reporting Entities
DFSA Publishes Business Plan 2021-2022
DFSA suspends licence of Red Spear Capital (DIFC) Limited
DFSA suspends licence of Red Spear Capital (DIFC) Limited
DFSA fines Ashish Bhandari USD 165,000 for involvement in anti-money laundering breaches and obstructing the DFSA
DUBAI FINANCIAL SERVICES AUTHORITY (DFSA), UAE BANKS FEDERATION (UBF), AND ICAEW HOST A SPECIAL BRIEFING ON IFRS-9
Dubai Financial Services Authority (DFSA), UAE Banks Federation (UBF), and ICAEW host a special briefing on IFRS-9
Notice of Amendments to Legislation
Holiday Notification
Dubai Financial Services Authority consults on regulation of Security Tokens
Notice of Amendments to Legislation
Maktoum bin Mohammed Appoints New DFSA Chairman
Dubai Financial Services Authority and the Bank of Italy sign a Memorandum of Understanding
Notice of Consultation Paper Release
Notice of Consultation Paper Release
Public Holiday Notification
DFSA publishes 2020 Annual Report
UAE regulatory authorities launch consultation on ‘Guidelines for Financial Institutions Adopting Enabling Technologies.’
DFSA Imposes Restrictions on FFA Private Bank (Dubai) Limited
DFSA Opens Innovation Testing Licence Cohort
Notice of Consultation Paper Release
Former Abraaj CFO, Mr Ashish Dave, fined USD 1.7 million for his involvement in deception, unauthorised activity, and compliance breaches
Eid Al Adha Holiday Notification
Dubai Financial Services Regulator Appoints F. Christopher Calabia as New Chief Executive
Hijri New Year Holiday Notification
Notice of Amendments to Legislation August 2021
Notice of Amendments to Legislation August 2021
Notice of Amendments to Legislation September 2021
Dubai Financial Services Authority provides the right regulatory framework for the future of finance
The DFSA Publishes Markets Brief No. 24 on Suspicious Transaction and Order Reports
Dubai Financial Services Authority, UAE Accountants & Auditors Association and the International Ethics Standards Board for Accountants hosts Middle East Webinar on Non-Assurance Services and Fee-Related Revisions to the IESBA Code
Public Holiday Notification
DFSA introduces regulatory framework for Investment Tokens
DFSA decision to impose sanctions on former La Tresorerie SEO, Gilles Rollet, referred to Financial Markets Tribunal
Former Abraaj Managing Partner Mr Mustafa Abdel-Wadood fined USD 1.9 million for involvement in the Abraaj misconduct
UAE regulators and exchanges issue High-Level Statement on Sustainable Finance to advance national net-zero goal
DFSA to host Cyber Risk Forum
UAE regulatory authorities jointly issue "Guidelines for Financial Institutions Adopting Enabling Technologies"
DFSA launches Task Force on Sustainable Finance in DIFC
The DFSA Publishes Markets Brief No. 25 on Special Purpose Acquisition Companies (SPACs)
Public Holiday Notification
DFSA fines Equitativa USD 210,000 for reporting breaches
Notice of Amendments to Legislation December 2021
Notice of Consultation Paper
DFSA Publishes the DFSA in Action
DFSA changing to a Monday to Friday working week
Holiday Notification
Maktoum bin Mohammed appoints Abdullah Sharafi to DFSA’s Board of Directors
DFSA fine of USD 175,000 and ban against Gilles Rollet for serious misconduct upheld by the Financial Markets Tribunal
DFSA action against Abraaj founder, Mr Arif Naqvi, and former COO, Mr Waqar Siddique, referred to Financial Markets Tribunal
Dubai Financial Services Authority strengthens international ties and signs its 110th MoU with the International Financial Services Centre Authority
Notice of Consultation Paper
DFSA decisions to penalise Dalma Capital Management Limited and Zachary Cefaratti referred to Financial Markets Tribunal
DFSA censures Paymentology Ltd for disseminating misleading and deceptive information
Notice of Amendments to Legislation March 2022
DFSA imposes penalties on two Adenium firms and two individuals
What does "Regulated by the Dubai Financial Services Authority" mean?
Dubai Financial Services Authority signs MoU with Central Bank of Mauritius
Regulatory Policy and Process Module April 2022 Edition
DFSA introduces Whistleblowing regime
The DFSA publishes its 2021 Annual Report
Public Holiday Notification
Notice of Amendments to Legislation May 2022
DFSA takes action to protect the integrity of Islamic Finance
DFSA fines director USD 240,000 and censures three related firms for obstruction
Public Holiday Notification
Notice of Consultation Paper
DFSA moves to an open window format for accepting ITL applications
The DFSA publishes The DFSA in Action
DFSA appoints new Chief Executive
Cybersecurity infrastructure in DIFC strengthens
DFSA launches Online MKT1 Form
UAE Regulators host Cyber Risk Supervisory College
DFSA decisions to impose sanctions on former Abraaj Auditor, KPMG LLP, and Audit Principal referred to Financial Markets Tribunal
DFSA issues Feedback Statement on CP143 Regulation of Crypto Tokens
DFSA Issues Feedback Statement on Consultation Paper No. 143
Notice of Amendments to Legislation October 2022
Dubai Financial Services Authority and The Securities and Exchange Commission of Thailand fortify Fintech and Innovation cooperation
DFSA fines and bans former Abraaj COO, Mr Waqar Siddique, for knowing involvement in Abraaj misconduct
Dubai Financial Services Authority signs an MoU with The Bangladesh Securities and Exchange Commission
NOTICE OF INITIAL LIST OF RECOGNISED CRYPTO TOKENS
DFSA Crypto Token regime comes into force
DFSA FINES KPMG LLP USD 1.5 MILLION AND FORMER KPMG LLP AUDIT PARTNER USD 500,000 FOR ABRAAJ CAPITAL LIMITED AUDIT FAILINGS
Notice of Consultation Paper Release
Notice of Consultation Paper Release
DFSA Task Force on Sustainable Finance issues Climate and Environmental Risk Management publication
Notice of Amendments to the DFSA Forms
The UAE Sustainable Finance Working Group Issues Second Public Statement
DFSA fines Bank of Singapore Limited for inadequate systems and controls and unauthorised activity
Notice of Amendments to Legislation November 2022
Notice of Amendments to Legislation December 2022
Sheikh Maktoum bin Mohammed appoints Rupert Keeley to DFSA’s Board of Directors
The Financial Markets Tribunal upheld the DFSA’s actions against Abraaj’s founder, Mr Arif Naqvi, including a USD 135 million fine
DFSA continues to bolster regulatory environment to support Dubai and UAE economic growth
DFSA releases Business Plan to support Dubai’s growth as a well-regulated and forward-thinking financial services hub
Two firms fined for their repeated failure to submit AML Returns to the DFSA by the set deadlines
Financial Markets Tribunal upheld DFSA decision that Dalma Capital Management Limited and Zachary Cefaratti misled the DFSA but reduced the penalties imposed
DFSA Chief Executive Ian Johnston appointed Vice Chair of IOSCO Committee
Notice of Consultation Paper Release
Notice of Consultation Paper Release
Notice of Amendments to Legislation March 2023
Dubai Financial Services Authority and Brunei Darussalam Central Bank sign MoU to boost cooperation in financial supervision
Notice of Amendments to the DFSA Sourcebook
Notice of Consultation Paper Release
Public Holiday Notification
Notice of Consultation Paper Release
Notice of Amendments to Legislation May 2023
Notice of Call for Evidence Release
DFSA Annual Supervision Outreach
DFSA takes action against two firms for regulatory breaches
Notice of Consultation Paper Release
Public Holiday Notification
Notice of Amendments to Legislation July 2023
Hijri New Year Holiday Notification
DFSA announces Swee Lian Teo will step down from its Board of Directors
DFSA fines bank Mirabaud USD 3 million for anti-money laundering controls failings
DFSA and UAE’s Financial Intelligence Unit sign MoU to strengthen collaborative action against financial crime
DFSA publishes report on cyber simulation exercise
Members of the UAE Sustainable Finance Working Group launch consultation on ‘Principles for Sustainability-Related Disclosures for Reporting Entities’
Public Holiday Notification
DFSA fines former CFO of listed REIT for being knowingly concerned in misleading statements and accounting breaches
Launch of Revised Online MKT1 Form
Empowering cyber resilience with the DFSA’s Threat Intelligence Platform, report unveiled during GITEX GLOBAL 2023
Notice of Consultation Paper Release
The DFSA’s Crypto Regime: one year on
DFSA fines FFA Private Bank (Dubai) Limited USD 370,000 for market abuse identification system failures
Notice of Crypto Token Recognition
The DFSA adopts the UAE principles for the effective management of climate-related financial risks ahead of COP28
The DFSA waives regulatory fees on ESG listings on Nasdaq Dubai
The UAE Sustainable Finance Working Group Issues Third Public Statement
The DFSA and the HKMA join efforts to accelerate sustainable finance across the Middle East and Asia
Notice of Consultation Paper Release
Notice of Amendments to Legislation December 2023
The DFSA fines R.J. O’Brien (MENA) Capital Limited USD 1.37 million for inadequate compliance resources
Notice of Consultation Paper Release
Notice of Consultation Paper Release: CP 153
The DFSA continues remarkable growth, issuing record number of licences since its inception
The DFSA issues its first ESG fee waiver to Emirates NBD Bank PJSC
Notice of Consultation Paper Release: CP 156
Notice of Consultation Paper Release: CP 157
Notice of Consultation Paper Release: CP 158
Notice of Call for Evidence Release: Credit Funds
DFSA Chief Executive Ian Johnston reappointed as Vice Chair of IOSCO Committee
Notice of Amendments to Legislation April 2024
DFSA and Securities and Futures Commission co-host high-level roundtable on distributing Hong Kong funds in DIFC
Notice of Amendments to Legislation April 2024
Notice of Consultation Paper Release: CP 159
Amendments to the Financial Markets Tribunal’s Rules of Procedure
The DFSA 2023 Annual Report chronicles a year of growth, innovation, and collaboration
Notice of Amendments to Legislation: May 2024
Sheikh Maktoum bin Mohammed issues decision appointing new members to the DFSA’s Board of Directors
The DFSA fines Sarwa Digital Wealth Limited for making a Public Offer of Shares without an Approved Prospectus
Expanding the China-Middle East corridor: DFSA and Securities and Futures Commission co-host high-level roundtable
The DFSA enhances its Crypto Token framework, fostering innovation
The DFSA publishes report based on recent Liquidity Thematic Review
The DFSA publishes Audit Monitoring Report for enhanced audit oversight
Notice of Amendments to Legislation: July 2024
The DFSA takes action against Symphony Services Limited and its CEO for misleading and obstructing the DFSA
Notice of Amendments to Legislation: July 2024 (updated)
Notice of Consultation Paper Release: CP 160
The DFSA fines former private banker USD 980,020 for misleading and deceptive conduct
HKMA and DFSA co-host Climate Conference to strengthen sustainable finance cooperation across Asia and the Middle East
DFSA's H1 2024 results: driving financial resilience and growth in the DIFC
DFSA and HKMA hold joint conference to strengthen sustainable finance collaboration
The DFSA accepts Enforceable Undertaking from Baker Tilly MKM Chartered Accountants for violations related to Audit Documentation
New DFSA explainer: Regulation of Crypto Tokens
DFSA investigation reveals OCS International Finance Limited mismanaged USD 46 million of client funds and imposes fine on Firm and its CEO
Notice of Consultation Paper Release: CP 161
New DFSA Thematic Review: Management of Operational Risk in Money Services Providers
Notice of Amendments to Legislation: October 2024
DFSA Issues Feedback Statement on Consultation Paper No 157
Live from GITEX: DFSA and Moro Hub strengthen strategic partnership, reinforcing DFSA’s evolution in IT and cybersecurity operations
Notice of Amendments to Legislation: October 2024
New DFSA Thematic Review: Complaints Handling
Notice of Consultation Paper Release: CP 162
New DFSA Thematic Review: Client Agreements and Disclosure Requirements for Crowdfunding Platform Operators
The DFSA fines Vedas International Marketing Management for Unauthorised and Misleading Financial Promotions
Notice of Crypto Token Recognition
Driving transparency, innovation, and compliance: the DFSA hosts Annual Outreach and releases 2024 Cyber Thematic Review
DFSA took decisive action by finalising eight enforcement cases in 2024 against individuals and firms, underscoring its focus on promoting integrity
DFSA Annual Outreach 2024 presentation deck now available
Notice of Consultation Paper Release: CP 163
Alerts
False DFSA Document used to Promote an Advance Fee Scam
False DFSA Document used to Promote an Advance Fee Scam
False DFSA Document used to Promote an Advance Fee Scam
False DFSA Document used to Promote an Advance Fee Scam
DIFC Impersonated in an Advance Fee Scam
Vitality Investments Falsely Claims to be Registered in the DIFC
DFSA Impersonated in a Fraudulent Scam
David Harding and Harding Capital Group Falsely Claim to be Registered in the DIFC
Mazyad Capital LLC Falsely Claims to be Authorised by the DFSA
False DFSA Documents used to promote an Advance Fee Scam
False DFSA Document used to Promote an Advance Fee Scam
Sale of Fake DIFC Commercial Licences
False DFSA Documents Used to Promote Fake “Emirates Lottery”
False DFSA Document and Impersonation of a DFSA Employee
False DFSA Document used to Promote a Fraudulent Scam
Fake Letter Referring to the DFSA and Impersonation of the DFSA’s Chairman
False DFSA Certificate Used in a Fraudulent Scam
DIFC Impersonated in an Advance Fee Scam
False DFSA Certificate and DIFC Clearance Certificate used in a Fraudulent Scam
Rasmala Investment Bank Limited and the DFSA Impersonated in a Scam
BankTr8 Global Markets Dubai falsely claims to be Authorised by the DFSA
Fake DFSA Consultation Letter and Impersonation of DFSA Chief Executive
Fake DFSA Audit Letter and Impersonation of DFSA Staff
False DFSA Documents used to Promote a Fraudulent Scam
DFSA and its Chairman Impersonated in “Dubai National Lottery” Scam
False DIFC and DFSA Documents used to Promote a Fraudulent Scam
Fake DFSA Letter and Impersonation of DFSA Staff
Al Hail Islami Finance Co. Ltd. Falsely Claims to be Authorised by the DFSA
DFSA and two UAE Government Authorities Impersonated in a Fraudulent Scam
DIFC Impersonated in an Advance Fee Scam
DFSA Impersonated in a Fraudulent Scam
Amana Financial Services (Dubai) Limited and the DFSA Impersonated in a Scam
Arqaam Capital Limited and the DFSA Impersonated in a Scam
Cartwright & Brown Wealth Advisory Falsely Claims to be located in the DIFC
Hershel Escrow falsely claims to be insured by banks in the DIFC
False DIFC letter used to promote “Prize Money” scam
DFSA and an International Bank Impersonated in a “Covering Certificate” Scam
Advance Fee Scam using DFSA Logo
Cyprus SEC Impersonated in a Fraudulent Scam
Redimax Capital Falsely Claims to be Regulated by the DFSA
Skyo Microfinance Bank Limited Falsely Claims to be Incorporated by the DFSA in an Advance Fee Scam
Fake Letter Impersonating the DFSA and its Chairman
Cryptocurrency Platform Melecoin falsely claims to be located in the DIFC
Website Misusing the DIFC Logo and Falsely Claiming that Company is Regulated by the DFSA
DFSA Impersonated in an Investment Fee Scam
DFSA cautions – Increase in scams during COVID-19
DFSA cautions against fake DIFC firms
LinkedIn Profile Impersonating the DFSA and DFSA Staff
Gulf One uses the name of the DFSA in an Advance Fee Scam and falsely claims to be in the DIFC
DFSA cautions against fake DIFC firms
False DIFC letter used to promote “Prize Money” scam
BankTr8 Global Markets Dubai falsely claims to be Authorised by the DFSA
Rasmala Investment Bank Limited and the DFSA Impersonated in a Scam
False DFSA Document and Impersonation of a DFSA Employee
False DFSA Document used to Promote an Advance Fee Scam
DFSA Impersonated in a Fraudulent Scam
DIFC and DFSA Impersonated in an Advance Fee Scam
DIFC Impersonated in an Advance Fee Scam
DIFC Firms including Al Rafa Investments Limited Impersonated in Fraudulent Scams
Al Jomaih Investments Ltd Impersonated in a Fraudulent Advance Fee Scam
DFSA and an International Bank Impersonated in an Advance Fee Scam
Ebtikar Investment Company LLC Falsely Claims to be Authorised by the DFSA
DFSA and Barclays Bank Impersonated in an Advance Fee Scam
DFSA Impersonated in an Advance Fee Scam
False DFSA Documents used to Promote an Advance Fee Scam
DFSA Impersonated in a Fraudulent Tax Scheme
False DIFC Documents used to Promote a Fraudulent Scam
Acornvest Investment Falsely Claims to be Licensed by the DFSA
False DFSA Documents used to Promote an Advance Fee Scam
False DFSA Documents used to Promote an Advance Fee Scam
DFSA Impersonated in a Fraudulent Scam
False DFSA Documents used to Promote a Telecommunications Scam
False DFSA Documents used to Sell Fake Licenses
False DFSA Documents used to Promote Emirates Lottery Foundation Promo Scam
False DFSA Documents used to Promote a Fraudulent Scam
Emirates National Bank of Dubai Impersonated in a Fraudulent Scam
DFSA Impersonation: Misuse of DFSA's Name
Al Mashriq Commercial Investment Corporation and Al Mulla Atradius Insurance Consultancy and Brokerage LLC Impersonated in a Fraudulent Scam
False DFSA Documents used to Promote a Fraudulent Scam
Star-Dubai Ltd Falsely Claims to be Incorporated by the DFSA
IRS and FATCA Impersonated in a Fraudulent Scam
False DFSA Documents used to Promote an Advance Fee Scam
DFSA Impersonation: Misuse of DFSA’s Name
False DFSA Documents used to Promote a Fraudulent Scam
DFSA Impersonation: Misuse of DFSA's Name
Value International Trading Limited Falsely Claims to be Authorised by the DFSA
DFSA Impersonation: Misuse of DFSA's Name
NAJD Investments Limited impersonated in a Fraudulent Scam
False DIFC Documents used to Promote a Fraudulent Scam
Finder Development Company Falsely Claims to be Authorised by the DFSA
AlphaLeo Capital Impersonated in a Fraudulent Scam
Clarification Regarding MAC Capital Limited and Star Capital (DIFC) Limited
DFSA Authorised Firm Impersonated in a Fraudulent Scam
False DIFC Documents used to Promote a Fraudulent Scam
DIFC Individuals Impersonated in a Fraudulent Email Scam
DFSA and DIFC Individuals Impersonated in a Fraudulent Scam
DIFC Individual Impersonated in a Fraudulent Scam
DIFC Board Member Impersonated in a Fraudulent Scam
Gulf Merchant Bank Limited Impersonated in an Advance Fee Scam
DFSA Employee Impersonated in a Fraudulent Email Scam
Hazza Bin Saif Investment Group Falsely Claims to be Incorporated by the DFSA
False DFSA Documents used to Promote Fraudulent Scam
False DFSA Documents used to Promote an Advance Fee Scam
DFSA Impersonated in a Fraudulent Email Scam
False DFSA Document used to Promote a Fraudulent Scam
False DIFC Document used to Promote a Fraudulent Scam
Alquiwain Investment UAE Falsely Claims to be Incorporated by the DFSA
False DFSA Documents used to Promote a Fraudulent Scam
False DFSA and Abu Dhabi Investment Authority (ADIA) Documents used to Promote an Advance Fee Scam
Dubai Financial Investment Capital Falsely Claims to be Authorised by the DFSA
Algaddah Investment LLC Falsely Claims to be Authorised by the DFSA
False DFSA and Central Bank of the UAE Documents used in a Fraudulent Scam
Montgomery Roth International (Middle East & Asia) LLP Falsely Claims to be Regulated by the DFSA
Dubai Financial Investment Capital Falsely Claims to be Regulated by the DFSA
Clarification Regarding MF Global
False DFSA Documents used to Promote a Fraudulent Scam
DIFC Individual Impersonated in a Fraudulent Scam
Alma Investment LLC and Hamzi Al Khaima Falsely Claim to be Authorised by the DFSA
DIFC Individual Impersonated in a Fraudulent Scam
DIFC Impersonated in a Fraudulent Email Scam
DIFC Investment Bank Falsely Claims to be Authorised by the DFSA
Arab-Anglo Finance Falsely Claims to be Authorised by the DFSA
DIFC Individual Impersonated in a Fraudulent Scam
Dubai Investment Financial Capital UAE Falsely Claims to be Regulated by the DFSA
False DIFC Documents used to Promote a Fraudulent Scam
False DFSA Documents used to Promote an Advance Fee Scam
Clarification Regarding Persia International Bank plc
DFSA Individuals Impersonated in a Fraudulent Scam
DIFC Individual Impersonated in a Fraudulent Scam
Keen Ocean Falsely Claims to be Regulated by the DFSA
False DFSA Documents used to Promote a Fraudulent Scam
DIFC Individual Impersonated in a Fraudulent Scam
Norton Rose Impersonated in a Fraudulent Scam
DFSA and Other Authorities Impersonated in a Scam
DFSA Impersonated in An Advance Fee Scam
DFSA Impersonated in an Advance Fee Scam
False DFSA Certificate of Incorporation used in Scam
Fake Letter Impersonating the DFSA and a Member of its Senior Management
DFSA Authorised Firm, the DFSA, and a member of DFSA Senior Management Impersonated in scam
DFSA Authorised Firm Impersonated On Various Websites
Fake email Impersonating the DFSA and a member of the DFSA’S Senior Management
Fake Letter Impersonating the DFSA and a Member of its Senior Management
Fake DFSA and DIFC Release of Funds and Clearance Certificates used in a Fraudulent Scam
DFSA Statement on Crypto Assets
Clarification regarding the regulatory status of Coworth and Novus
Introducing Brokers make false claims that Multibank entities are DFSA Authorised
Clarification regarding the regulatory status of Zeniq Technologies
DFSA Impersonated in An Advance Fee Scam
DFSA Authorised Firm Impersonated On Fake Website
Fake DFSA Form used in an Advance Fee Scam
DFSA provides clarification on licensing of firms
DFSA provides clarification on licensing of firms
Website Falsely Claims that Company is Regulated by the DFSA
An Authorised Firm, the DFSA, and other UAE authorities impersonated in an advance fee scam
Fake DFSA Certificate used in a Fraudulent Scam
Clarification of Regulatory Status of several companies
Fake DFSA employee signatures and stamp used in a Fraudulent Scam
Instagram page falsely claims that Company is regulated by the DFSA
DFSA Authorised Firm Impersonated on Fake Website
Fake Email Impersonating the DFSA and a member of the DFSA’S Senior Management
DFSA Authorised Firm Impersonated on Fake Website
Clarification of regulatory status of MEX Australia PTY LTD
Clarification of regulatory status of application launched by the Amana Capital Group
Fake correspondence impersonating the DFSA
Clarification of the Regulatory Status of Eureeca DIFC Limited
Fake DIFC Commercial Licence used in a Fraudulent Scam
Fake Email impersonating the DFSA and a member of the DFSA’s senior management
Fake Email Impersonating the DFSA and a member of the DFSA’s Senior Management
Clarification Regarding the Issuing of Virtual or Physical Bank Cards
Unauthorised Financial Services activities
Unauthorised Business in the DIFC
Fake Email Impersonating the DFSA
Fake DFSA Certificate of Insurance used in Scam
Fake Email Impersonating the DFSA, its Chairman and Chief Executive
Company falsely claims to be in the DIFC in an advanced fee scam
Fake Emails Impersonating the DFSA
Fake Letters Impersonating the DFSA and members of the DFSA’s Senior Management
Global Financial Services falsely claims to be regulated by the DFSA
Clarification of the regulatory status of Vlado Brokers Limited, Vlado Consultants Limited and Volo Finance
Fake Email Impersonating the DFSA
Letter Impersonating the DFSA
Clarification of the regulatory status of Validus-FZCO and VMarketing Ltd, and Validus
Clarification of the Regulatory Status of Several Companies
Fake Letter Impersonating the DFSA and the DFSA’s Chief Operating Officer and Head of Authorisation
Rasmala Investment Bank Limited and the DFSA Impersonated in a Recent Scam
Kane LPI Solutions Ltd Impersonated in recent scam
Clarification of the regulatory status of Hedge and Sachs Financing Broker LLC
The DFSA issues alert over misleading claims made by Manra Capital, an unlicensed Firm
Clarification regarding the regulatory status of Hemingway Investments LLC and Hemingway
Clarification of the regulatory status of entities under the brand ‘Falcon’
Clarification of the regulatory status of Polynome Group
Clarification of the regulatory status of Merlion Capital
The DFSA impersonated by Cryptocurrency Explorer
CIMD (Dubai) Limited Impersonated in Scam
Bemo Investment Firm Ltd Impersonated in Scam
Clarification of the regulatory status of Bowarr Management Ltd
Rasameel Investment House Limited impersonated in scam
DFSA Authorised Firm Impersonated On Several Websites
Clarification regarding the regulatory status of Kensington Capital Equity Partners
Fake Letter Impersonating the DFSA and the Chairman of the DFSA
Fake Bank Statement Claiming DFSA Suspension of Current Account
Fake Decision Notice Impersonating the DFSA and former FMT President
Liechtensteinische Landesbank AG impersonated in scam
GMG (Dubai) Limited impersonated in scam
DFSA logo used in a fraudulent scam
SNB Capital (DIFC) Limited Impersonated in Scam
DFSA and Authorised Firm impersonated in scam
DFSA and Central Bank of the UAE logos used in a fraudulent scam
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