Principal trading
Deal arranging & advisory
Investment intermediation
Deal arranging & advisory
Investment intermediation
Licensed to trade investments as principal in DIFC using own balance sheet, operating as dealer or market maker under DFSA oversight.
Trading as principal license in DIFC
The DIFC category 3B license allows firms to deal in investments as principal, using their own balance sheet for trades. It is suitable for firms that want to operate as dealers or market makers within a regulated environment.
- Who is the category 3B license for?
- Proprietary trading firms acting as principal
- Structured finance providers
- Investment companies managing their own positions
What activities are permitted?
- Dealing in investments as principal trader
- Executing trades for professional clients
- Market-making in financial products
Category 3B license holders typically operate as principal traders, market makers, or investment firms managing proprietary positions under DFSA supervision.
Regulatory requirements
Capital requirement
Minimum paid-up capital from USD 500,000 (depending on scope)
Regulatory oversight
DFSA-supervised with ongoing reporting and conduct rules
Risk and compliance
Risk controls, transaction monitoring and audits required
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