Published August 25th 2025
By Shadi Swais
The United Arab Emirates (UAE) has established itself as a leading global financial hub, attracting investors, brokers, fintech companies, and asset managers from across the world. At the heart of this thriving ecosystem is the Securities and Commodities Authority (SCA) — the federal regulatory authority responsible for supervising, developing, and safeguarding the UAE’s financial markets.
For businesses looking to enter the UAE’s competitive financial services sector, understanding the SCA framework is essential. Whether you’re seeking to promote financial products, act as a financial consultant, manage investments, or advise on securities issuance, obtaining the right SCA license is the key to operating legally and successfully.
The Securities and Commodities Authority was established in 2000 under Federal Law No. (4) with a clear mission:
To regulate and develop the UAE’s securities and commodities markets in line with global best practices, ensure market transparency, and protect investors.
The SCA works closely with key financial market operators, including the Dubai Financial Market (DFM), Abu Dhabi Securities Exchange (ADX), and Nasdaq Dubai, to create a robust and secure investment environment.
The SCA plays a critical role in maintaining a transparent, secure, and competitive financial ecosystem. Its responsibilities include licensing and supervising financial services providers, regulating securities and commodities markets, developing frameworks for innovative financial products, enforcing AML/KYC compliance, and protecting investors’ rights.
The SCA issues several licenses based on the scope of activities a company intends to perform. These include brokerage licenses, fund management licenses, financial consultancy and promotion licenses (Category 5), and issuance & listing advisory licenses.
Among these, the SCA Category 5 License is one of the most popular options for firms looking to advise, promote, and introduce financial products within the UAE’s regulated framework.
With a Category 5 License, companies can choose from multiple activities, such as:
This license gives your company full market access to introduce and promote financial products locally, enhances your credibility as a regulated advisory provider, improves access to banking and payment solutions, and strengthens partnerships with UAE-based brokers, fintech firms, and institutional investors.
Operating under SCA’s framework ensures your business meets the highest standards of transparency, governance, and investor protection. This builds trust with clients and partners, simplifies banking relationships, and gives your company a competitive advantage in the UAE’s growing financial services market.
Navigating the SCA licensing process requires specialized expertise, detailed planning, and ongoing compliance management. At Alliance Advisers, we provide end-to-end support — from eligibility assessments and document preparation to liaising with regulators and securing approvals.
With extensive experience in financial services licensing, compliance advisory, and corporate structuring, we help businesses establish a strong, compliant, and competitive presence in the UAE’s regulated financial sector.
Take the first step toward securing your SCA license and growing your business in one of the world’s leading financial hubs. 📩 Contact Alliance Advisers today: https://allianceadvisers.com/contact-us
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