UAE

Securities and Commodities Authority | Brokerage - Trading Broker

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Introduction

If you’re planning to operate as a brokerage or trading broker in the UAE, your first stop is the Securities and Commodities Authority. The SCA regulates...
Read more

Documents required

1 .

Passport copies of shareholders and directors

2 .

Emirates ID and visa page (if applicable)

3 .

Corporate structure chart

4 .

Business plan covering operational model, financials, and risk controls

5 .

Proof of capital as per SCA minimum capital requirements

6 .

Professional qualification certificates for key personnel

7 .

Fit-and-proper declarations for shareholders and executives

8 .

Office lease agreement (if already secured)

9 .

Internal control, AML, and compliance framework documents

10 .

Previous regulatory approvals (if applicable)

Highlights & Benefits

Access to a regulated market

You operate under a legal framework that gives investors confidence and allows you to offer services like brokerage, trading, and advisory without restrictions.

Trade securities & commodities

An SCA license opens the door to activities that include dealing, brokerage, platform operations, and custody-related services.

Credibility with clients & partners

Being SCA-regulated signals transparency, stability, and compliance, crucial for building trust in financial markets.

Clear activity permissions

The SCA has defined categories for brokerage and trading broker activities, making it easier for investors and clients to understand what you are licensed to offer.

Support with compliance audits

With structured conditions in place, staying compliant becomes easier and helps your firm avoid penalties.

Process Flow

Activity selection

You decide whether you’re applying for brokerage, trading broker, or a related financial activity. This determines your capital requirements and structure.

Initial eligibility check

We review your shareholders, qualifications, and business model to make sure you meet the SCA’s criteria.

Document preparation

All required documents, from business plans to compliance frameworks, are drafted, reviewed, and aligned with SCA expectations.

Submission to the SCA

Your full file is submitted through the authority’s system, followed by monitoring, clarifications, and compliance updates as requested. The application fee includes AED 1000, while a separate licensing fee of AED 5000.

Financial and operational approvals

The SCA may request interviews, policy adjustments, or additional documents before issuing approval.

Final license issuance

Once the SCA gives the green light, your brokerage or trading broker license is issued through the relevant economic authority.

Post-approval compliance setup

You finalize internal controls, trading platforms, reporting mechanisms, and staff registrations according to SCA rules.

Terms & Conditions

All SCA applications are subject to regulatory review and approval timelines.
Capital requirements depend on your chosen activity and must be maintained at all times.
Applicants must meet the SCA’s fit-and-proper standards.

Pricing Details

Securities and Commodities Authority | Brokerage - Trading Broker

Normal service

AED 7,800

Total

AED 7,800

Arnifi Price

AED 7,800

Note: The payment is prepaid.

Price Match Guarantee

We match any competitor's price guaranteed

Real Time Dashboard
Never miss a deadline

Compliance calendar integrated in your dashboard

24×7 Operational Support

Round-the-clock support for all clients available every day, any time.

100% Money Back Guarantee

Full refund guarantee and no questions asked.

Pricing Details

AED 7,800

UAE

Securities and Commodities Authority | Brokerage - Trading Broker

Scroll to Documents Required

Introduction

If you’re planning to operate as a brokerage or trading broker in the UAE, your first stop is the Securities and Commodities Authority. The SCA regulates...
Read more

Documents required

1 .

Passport copies of shareholders and directors

2 .