Investment advisory
Financial arrangers
$250k+
Capital
Licensed to arrange and advise on investments in DIFC without custody of client funds, under DFSA oversight.
Advisory and arranging license in DIFC
The DIFC category 3A license is designed for firms that arrange or advise on credit and investment deals without holding client money.
This license is supervised by the Dubai Financial Services Authority (DFSA) and is ideal for intermediaries working with institutional or professional clients.
Who is the category 3A license for?
- Investment arrangers and deal introducers
- Advisory firms providing non-discretionary advice
- Companies structuring credit or investment opportunities
What activities are permitted?
Arranging credit or investment deals between parties
Providing investment advice on a non-discretionary basis
Introducing clients to fund managers or financial institutions
- License obligations
Regulatory requirements
Minimum paid-up capital from USD 250,000
DFSA approval required for all activities
Compliance with AML, KYC, and reporting obligations
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