Advisory and arranging
Advisory & Arranging
$10k-50k
Capital
Advisory & Arranging
$10k-50k
Capital
Provide financial advice and arrange investment services without handling client funds
Focused on advisory and arranging
The DIFC category 4 license is designed for firms that specialise in financial advisory and arranging services without holding or safeguarding client funds. Supervised by the Dubai Financial Services Authority (DFSA), this license is one of the most flexible and accessible options for firms looking to operate in DIFC.
- Regulated financial advice
- Secure legal framework
- Structured transactions
- DFSA regulatory trust
- Low capital base
Reduced capital requirements
This license suits firms providing advisory or arranging services while leaving client asset custody to regulated institutions.
Who is the category 4 license for?
- Wealth and financial advisory firms
- Family office structuring advisors
- Business introducers and referral agents
- Corporate finance consultants
- Financial planning and investment introduction services
What activities are permitted?
- Advising on financial products and services
- Arranging transactions or credit facilities between clients and third parties
- Referring clients to fund managers or financial institutions
- Providing non-discretionary investment support
- Consulting on mergers, acquisitions, and financing deals
The license does not allow managing investments or taking custody of client money.
Regulatory requirements
This license is intended for firms operating with lighter capital and compliance obligations.
No need for large operational infrastructure
AML, KYC, and internal controls must be implemented
Regular compliance reports and audit filings are required
Minimum capital requirement from USD 10,000 to USD 50,000 depending on scope
Must comply with DFSA regulations on conduct, record-keeping, and client classification
Tailored advice on category 4
From choosing the right category to full setup, we’ll take care of everything.
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Our working hours: Monday to Friday, 9 AM – 6 PM CET
Save time,
save money!
Why base your advisory firm in DIFC?
Operate from one of the world’s leading financial centres
Benefit from zero income and corporate tax
Gain credibility under DFSA regulation
Access a network of private clients, institutional investors, and global firms
Enjoy 100% foreign ownership and international legal certainty
Saved monthly
Let’s turn your vision into reality
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Our working hours:
Monday to Friday, 9 AM – 6 PM GMT+4
Let’s turn your vision into reality
Or leave your number, and we’ll call you back within 5 minutes!
Our working hours:
Monday to Friday, 9 AM – 6 PM GMT+4
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