The Securities and Commodities Authority (SCA) Category 5 License in the UAE authorizes companies to operate as Financial Consultants and Promoters under a regulated framework. This license is ideal for firms looking to advise, promote, introduce, and support financial products and investment opportunities within the UAE while ensuring full compliance with local regulations.
Key Activities Allowed Under the SCA CAT 5 License
With this license, companies can choose one or more of the following activities:
- Financial Advisor (Issuance Manager): Advising on and managing the issuance of financial instruments such as bonds, stocks, and structured products.
- Financial Consultations: Providing expert consultancy on investment strategies, portfolio management, and financial planning.
- Introduction Services: Acting as an introducing party by connecting clients with licensed brokers, fund managers, or financial institutions.
- Listing Advisory: Assisting companies with preparing and managing the process of listing on regulated financial markets and exchanges.
- Promotion of Financial Products: Promoting and marketing financial products, services, and investment opportunities on behalf of licensed entities.
Key Benefits of the SCA CAT 5 License
- Full Market Access – Enables you to introduce and promote financial products directly to clients within the UAE while building partnerships with UAE-based brokers, banks, fintech companies, and investment firms.
- Enhanced Credibility – Positions your company as a regulated, trusted financial advisory provider.
- Flexibility of Services – Combine multiple activities under a single license to create a wider service offering.
- Banking & Institutional Support – Licensed firms are highly preferred when opening corporate bank accounts and integrating with payment providers.
- Strategic Growth Opportunities – Ideal for firms aiming to collaborate with local and international brokers, fintech companies, fund managers, and institutional investors.
Important Notes About Activity Requirements
Each approved activity under the SCA Category 5 License has its own regulatory requirements, which may include:
- Minimum capital requirements
- Hiring qualified personnel such as licensed financial consultants and compliance officers
- Developing operational manuals, risk frameworks, and internal policies
- Implementing AML/KYC compliance systems
If you plan to apply for multiple activities, be aware that additional approvals and extended timelines may apply. On average, the full licensing process takes around six months, assuming full client cooperation and efficient SCA processing.
About Alliance Advisers
Alliance Advisers is a leading corporate services and financial consultancy firm based in Dubai, specializing in regulated licensing, company formation, compliance solutions, and strategic advisory services.
With a proven track record in structuring financial services firms, we assist clients throughout the entire SCA licensing process — from assessing requirements and preparing documentation to liaising with regulators and securing approvals.
Our strong regulatory expertise and client-focused approach make us the ideal partner for firms looking to establish, grow, and succeed in the UAE’s highly regulated financial services sector.
📩 Contact Alliance Advisers today to learn more about the SCA Category 5 License and start your licensing journey: https://allianceadvisers.com/contact-us
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