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DIFC Cat 4 Investment Advisor License
This episode is also available as a blog post: https://10leaves.ae/publications/difc/category-4-difc-investment-advisory-license-difc-license-categories
Firms interested in carrying out investment advisory activities from the DIFC are required to submit applications to the Dubai Financial Services Authority, or DFSA.
The DFSA, for the purposes of authorisation and supervision, categorises investment advisory, credit advisory and insurance advisory activities under Category 4. Other activities that come under a Category 4 license include crowdfunding. While the Category 4 license allows firms to deal with Professional Clients only, it is possible to seek a Retail Endorsement during, or after the licensing process.
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By 10 LeavesThis episode is also available as a blog post: https://10leaves.ae/publications/difc/category-4-difc-investment-advisory-license-difc-license-categories
Firms interested in carrying out investment advisory activities from the DIFC are required to submit applications to the Dubai Financial Services Authority, or DFSA.
The DFSA, for the purposes of authorisation and supervision, categorises investment advisory, credit advisory and insurance advisory activities under Category 4. Other activities that come under a Category 4 license include crowdfunding. While the Category 4 license allows firms to deal with Professional Clients only, it is possible to seek a Retail Endorsement during, or after the licensing process.