UAE – DIFC CAT 4

Dubai Financial Services AuthorityCAT 4

Licenses are granted by the Dubai Financial Services Authority (“DFSA”) to carry out the Investment Fund Services. 

CAT 4 Investment Advisor License, including categories: 

  • Advising on Financial Products
  • Arranging Deals in Investments
  • Arranging Credit and Advising on Credit 
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License Details

Feature/Category

DIFC INVESTMENT ADVISOR LICENSE (Category 4)

Type of company required to be eligible

DIFC company

Minimum paid-up statutory capital

USD 10,000

Main requirements

• Physical office

• Board of Directors

• 1 Senior Executive Officer (SEO) – local

• Compliance Officer (CO) and MLRO Officer – local

• Finance Officer (FO) – local

• Internal and External Audit, Accounting – local

• Risk Officer

Government Fees

DFSA FEESDIFC FEES
US$ 15,000 (Application Fee) + Supplementary Fee in case of additional complexity in the application*US$ 8,000 (Application Fee)
US$ 12,000 (Commercial License for 1 year)
US$ 1,250 (Data Protection Notification fees)
US$ 15,000 (Annual Fee; pro rata from the date of license, and annually in full thereafter)
+ US$ 1,000 for every US$ 1,000,000 of expenditure		US$ 12,000 (Commercial License renewal fee – annual)
US$ 750 (Data Protection renewal fees)

Apply for Dubai Financial Services Authority CAT 4 in UAE

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