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Most Important Violations and Administrative Penalties of the SCA’s Law and Regulations
Most Important Violations and Administrative Penalties of the SCA’s Law and Regulations
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Bayanat.ae
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Propose / Request Data
Most Important Violations and Administrative Penalties of the SCA’s Law and Regulations
Awareness campaign for combating unlicensed financial activities
About the campaign
Videos
Awareness Messages
News
Media Kit
Strategic Sponsors
SCA Awareness Session
Awareness and Guidance
Distribution of unclaimed dividends and amounts of dormant accounts at brokerage firms
Payment of unclaimed dividends dating back to before March 2015 to shareholders of locally listed public joint stock companies
Payback of cash held in dormant accounts opened with brokerage firms
Inquiry service about the names of shareholders entitled to dividends dating back before 2015
Most Important Violations and Administrative Penalties of the SCA’s Law and Regulations
Numbers & Statistics
Companies
Financial Auditors for PJSCs and Mutual funds
Private Joint-Stock Companies Registrars
Bonds and Sukuk
Licensed Companies
Warnings
Violations and Violators
Violations of listed PJSCs in financial markets
Violations of companies licensed by SCA
Other
Reports and Statistics
Reports
Statistics
Poll results
Annual reports
UAE National Markets Summary Index
Open Data Policy
Bayanat.ae
Mutual Funds
passporting
Local Funds
Priority Services
Propose / Request Data
Awareness campaign for combating unlicensed financial activities
About the campaign
Videos
Awareness Messages
News
Media Kit
Strategic Sponsors
SCA Awareness Session
Awareness and Guidance
Distribution of unclaimed dividends and amounts of dormant accounts at brokerage firms
Payment of unclaimed dividends dating back to before March 2015 to shareholders of locally listed public joint stock companies
Payback of cash held in dormant accounts opened with brokerage firms
Inquiry service about the names of shareholders entitled to dividends dating back before 2015
Most Important Violations and Administrative Penalties of the SCA’s Law and Regulations
Most Important Violations related to the Brokerage Firms:
Translation in progress
Most Important Violations related to the Listed Companies
Translation in progress
Most Important Violations related to the Investors
Translation in progress
Most Important Violations related to the Custodians
Translation in progress
Most Important Violations related to the Lending and Borrowing of Securities
Translation in progress
Most Important Violations related to the Short Sale of Securities
Translation in progress
Most Important Violations related to the Regulation for Investment Management
Translation in progress
Most Important Violations related to the Anti-money Laundering and Counter-terrorist Financing actions
Translation in progress
Most Important Violations related to the Financial Consultation and Analysis Firms
Translation in progress
Most Important Administrative Penalties and Actions which can be enforced by the Authority against all violators of the Law and Regulations of the Authority
Issue instructions
Issue a notice
Issue a warning
Levy a fine not exceeding the maximum fine provided for in the Law and the regulations issued thereunder
Suspend the licensed company from practicing of the activity for no more than one year
Revoke the license/approval issued for the licensed company
Revoke the trading transactions
Suspend the employees authorized by the Authority from practicing of the profession for no more than two months
Cancel the authorization of the employees who are authorized by the Authority
Suspend the listing of the listed company for no more than six months
Cancel the listing of the listed company
Suspend the investor from trading for no more than one year
Publish the names of the violators on the Authority’s website
Refer the violator to the Public Prosecution
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