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This chapter introduces the regulatory infrastructure established by Federal Law No. 4 that created the Securities & Commodities Authority (SCA). It covers the SCA’s functions and powers, including the requirements relating to membership and the need for securities and commodities markets in the UAE to be licensed by the SCA.

Building on the regulatory infrastructure introduced in the first chapter, this chapter looks at a variety of requirements surrounding licensed activities undertaken by brokerage firms and firms involved in financial consultancy and analysis

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This chapter provides rules and regulations for open-ended and closed-ended Public Investment Funds, Cash Investment Funds, ETFs and Real Estate Funds.

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This chapter talks about the functions and obligations of the depository centre, along with regulations for listed public joint-stock companies. It also includes regulations for Islamic securities. Regulations for crypto asset offerings is a new added section to this chapter.

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This chapter introduces the legal framework in the UAE aimed at combating money laundering and the financing of terrorism and other illegal organisations. It draws heavily on Federal Law No. 20 of 2018 on Anti-Money Laundering and combating the financing of terrorism and financing of illegal organisations.

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The rationale for categorising clients is so that those clients can be given the right level of protection under the law and regulations. A good example of this expectation is drawn from Decision 05 of 2020 of the Securities and Commodities Authority (SCA) entitled Suitability and Appropriateness Standards. These standards relate to what are described as ‘complex’ financial products – in other words, financial products that have complications over and above those found in the usual shares, bonds or units in mutual funds.

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This chapter covers the regulatory aspects of trading on the Abu Dhabi Securities Market (ADX) and the commodities markets in the UAE. The rules and regulations associated with the Dubai Financial Market (DFM) will be covered in the following chapter.

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This chapter covers the rules and regulations associated with the Dubai Financial Market (DFM). DFM operates as a secondary market for the trading of securities issued by public shareholding companies, bonds issued by federal or local governments, local public institutions and mutual funds as well as other local or foreign DFM approved financial instruments.

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