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Regulator Performance Overview
320
54
26
13
0
1
Insurance coverage protecting client deposits and funds
Requirement for client funds to be held separately from company funds
Registers/decisions
Tier 2
Brokerage licence incl. CFDs
Not specified
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 below average performance with an overall score of 54.
Strongest performance in Regulatory
Transparency Level: Registers/decisions
Global Tier: tier2
Since its establishment, the Securities and Commodities Authority (SCA) has played a central role in establishing an overarching financial framework for the United Arab Emirates (UAE), in line with the Federal Law No. (4) of 2000, it formulates a comprehensive and transparent regulatory framework that allows for the development of a capital market.
The Authority has developed rules, policies, and governance frameworks to establish high operating standards for listed companies and organizations conducting business in the broad securities sector.
Protection against negative account balances in trading
Access to qualified investment professionals and advisory services
Self-regulated
Per local law; typical sanctions
United Arab Emirates
UAE (onshore); free zones (DFSA/FSRA)
Per local law; typical sanctions
Agency; Principal per rules
Online portal available (https://www.sca.gov.ae/en/decisions/)
SCA complaints
1:100
Information not available
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
Institutional strength and organizational capability
Risk assessment and management protocols
Investor protection measures and safeguards
Client fund protection and insurance coverage
Brokers authorized and regulated by this authority
United Arab Emirates
LebanonLebanon+4 more licenses
Australia
Cyprus
United Kingdom+3 more licensesAustraliaCyprusUnited Arab Emirates+4 more licensesAustralia
New ZealandUnited Arab Emirates+4 more licenses
BelizeUnited Kingdom
South Africa+1 more licenses
VanuatuUnited KingdomUnited Arab EmiratesUnited Kingdom
Hong KongUnited Arab EmiratesCyprusUnited Kingdom
Seychelles+8 more licensesSeychellesUnited Arab EmiratesUnited Kingdom+3 more licensesAustraliaSouth AfricaUnited Arab Emirates+1 more licensesAustraliaSouth AfricaUnited Arab EmiratesSeychellesAustraliaCyprus+4 more licenses
