Financial Services


​- Submit Form

- Pay Fees

The license term shall be one year ending on December 31st each year. The term of the first license shall be as from the date of issue to December 31st of the same year. The payable fee for this license shall be prorated for the licensed period of the year with a part of a month calculated as one whole month.

- Submit the request

- Pay the fees

The validity term of the renewed license shall be one year ending on December 31st

  1. Company applies for license cancellation at DGCX, and pay fees.
  2. DGCX reviews the application, and forwards it to SCA for approval.
  3. After reviewing the application, SCA issues its approval of the cancellation.
  4. Company to publish advertisement in two UAE dailies, one in Arabic and one in English, and submits copies to SCA.
​1. The brokerage companies shall enter the E-Service and register for a new user in the absence of the company username.
2. The brokerage companies shall make the bookings for examination (for First Sitting Entry Exam, as well as Resit Entry Sitting exam).
3. The brokerage companies shall pay online or attach the deposit slip in the E-Service.
4. SCA shall ensure the collection of the examination fees and shall inform the company in case of confirmation or rejection of the deposited amount.
5. The e-service confirms the date of examination booking and shall inform the company accordingly by e-mail after the end of the request.
  1. The eligible applicant should submit its registration application to SCA, along with the supporting documents mentioned above.
  2. SCA may ask the applicant for any clarifications or additional information or documents, as deemed necessary. The applicant should then supply SCA with the required information within 10 business days. Otherwise, the application will be considered withdrawn.
  3. SCA will examine the registration application within a period not exceeding 30 days of its submission—or of the submission of the required documents and information. If the application is not examined during the 30-day period, it will be considered denied.
  4. SCA will inform the eligible applicant of its acceptance or rejection of the application and will provide its justifications in case of rejection. SCA will not accept any new application until 6 months have elapsed since the application was rejected or considered denied.
  5. SCA's approval will be considered null and void if the applicant does not pay the application fees within 30 days of its notification of application acceptance.
  6. SCA will issue the registration certificate.
  7. Auditing companies registered with SCA should make sure to renew their registration within no more than 3 years of the registration date.
  • Receive e-mail from SCA.
  • Access to the electronic services provided by SCA.
  • Choose inspection system.
  • Confirm receipt of commencement notice of inspection of the company.

After receiving the report

  • Access the electronic services provided by SCA.
  • Choose the inspection system.
  • Choose the compliance part.
  • Reply to each note and attach supporting documents if found then save.
  • Choose the risk part.
  • Reply to each note and attach supporting documents if found then save.
  • Press Send.

1.       Submission of a notification of the promotion of a financial product within the State on the form prepared for this purpose enclosing all the required documents and data.

2.       Payment of the prescribed fee.


The Authority's approval on the promotion within the State does not imply a recommendation to buy, invest in or recommend dealing with a particular party, but only concerned with the Promoter's ability and  aptness within the State to perform its duties. Accordingly, the Authority is not responsible for the following:

a.       The appropriateness of the promoted financial products to the client's investment requirements, solvency or financial position;


b.      Any documents, data or information that are incorrect, erroneous, misleading, fake or contrary to the legislation. Accordingly, any approval, license or decision issued based thereon by the Authority shall be null and void. The Authority shall not be liable for any damage or loss that may arise as a result of reliance thereon.

c.       Any foreign issuer or any party concerned with the foreign issue or associated with the issuer and all matters relating to the performance of any of duties, obligations and responsibilities by any of the said parties.