The details on this page about Dubai Financial Services Authority were compiled from the regulator’s own official documents, its website and other public sources, and are presented as neutral, factual guidance.
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Regulator Performance Overview
470
79
22
9
4
1
Insurance coverage protecting client deposits and funds
Requirement for client funds to be held separately from company funds
High
Tier 2
Cat 3A/3B Brokerage Licence
USD 50000-100000
Detailed assessment of regulatory capabilities and effectiveness
Detailed breakdown of the 6 key regulatory performance indicators
Value and prestige of licenses issued by this regulator
Effectiveness of regulatory framework and enforcement
This regulator shows good performance with an overall score of 79.
Strongest performance in Institutional
Transparency Level: high
Global Tier: tier2
The Dubai Financial Services Authority (DFSA) is an independent regulator of financial services carried on in, or from, the Dubai International Financial Centre (DIFC), a purpose-built financial free zone in Dubai, UAE. The DFSA was established to promote integrity in the capital market and investor protection, and regulates a range of financial services to ensure compliance with local and international standards.
The DFSA's regulatory mandate covers a wide array of financial services and activities, and includes:
Protection against negative account balances in trading
Access to qualified investment professionals and advisory services
Self-regulated
USA - North Korea - Iran - other sanctioned countries
United Arab Emirates
UAE - GCC countries - Asia - limited global clients
USA - North Korea - Iran - other sanctioned countries
Retail Agency (STP); Market Maker (Principal); Provide Liquidity (PoP)
Online portal available
DFSA Complaints
1:150
4 instruments
Contact regulator for details
International Organization of Securities Commissions
Member of the global body that brings together the world's securities regulators
Access to international regulatory standards, cooperation frameworks, and best practices
Financial Action Task Force
Member of the inter-governmental body that sets standards for combating money laundering
Commitment to international standards for anti-money laundering and counter-terrorism financing
Institutional strength and organizational capability
Risk assessment and management protocols
Investor protection measures and safeguards
Client fund protection and insurance coverage
Stocks, Options, Derivatives, Futures
Brokers authorized and regulated by this authority
United KingdomUnited Kingdom
United Arab Emirates+3 more licenses
Hong KongUnited Kingdom
United States+2 more licensesUnited KingdomUnited KingdomUnited Kingdom+6 more licensesUnited KingdomUnited States
Australia+3 more licensesAustraliaUnited Kingdom
Cyprus+4 more licensesHong KongUnited Kingdom
Switzerland+2 more licensesUnited Arab EmiratesUnited States
Israel+6 more licensesAustraliaUnited Kingdom
Japan+7 more licensesUnited Arab Emirates
LebanonLebanon+4 more licensesUnited KingdomUnited Arab EmiratesAustraliaCyprusUnited Kingdom+3 more licensesUnited KingdomUnited Arab Emirates
South Africa
