Request to add financial activity on the existing license

Annex No. (1) of the Rules Handbook specifies the functions required for each license category and each activity within those categories. You can refer to it through the regulations link: https://www.sca.gov.ae/en/regulations.aspx by referring to the Authority’s external website www.sca.gov.ae.

• The Authority, through the rulebook, obliges the company to set internal controls regarding outsourcing. • Companies must provide an outsourcing guide that includes a mechanism for outsourcing from inside or outside the country. • Taking into account not to outsource any approved jobs or tasks except as permitted outsourcing establishing procedures to ensure that outsourcing arrangements do not affect the fulfilment of obligations towards clients and the Authority and do not impede supervision and control processes. • The licensed entity bears full responsibility for any failure to perform its duties or responsibilities, breach of obligations or violation of relevant applicable legislation. • The rulebook obligated the licensed parties to submit evidence of their commitment to conclude a written outsourcing contract with the outsourcing party and to provide the Authority with a copy of it immediately upon its conclusion and with any subsequent amendment or change with the inclusion of the contract, which gives the Authority the right to enter the premises of the outsourcing body when needed in relation to the financial activity and access to documents and data related to that and seizing any of them. • You can refer to the Rules Handbook through the regulations link: https://www.sca.gov.ae/en/regulations.aspx by referring to the Authority’s external website www.sca.gov.ae.

• Companies are not required to appoint a general manager for each of the licensed activities. Instead, companies must select a category. The general manager of the company may be responsible for one of the licensed categories and his job as general manager of the company. • Annex No. (1) of the Rules Handbook specifies the functions required for each license category and each activity within those categories. You can refer to it through the regulations link: https://www.sca.gov.ae/en/regulations.aspx by referring to the Authority’s external website www.sca.gov.ae.

• Fee Type : Federal Application review fee for a Trading Broker

  1000Payment Method: Bank Transfer

• Fee Type : FederalApplication review fee for a Trading and Clearing Broke

  1000Payment Method: Cards

• Fee Type : FederalApplication review fee for a Trading Broker in Global Markets

  5000Payment Method: Cards

• Fee Type : FederalAaaApplication review fee for a Trading Broker for Unregulated Derivative Contracts and Currencies in the Spot Market

  5000Payment Method: Cards

• Fee Type : FederalApplication review fee for a Financial Products Dealer

  5000Payment Method: Cards

• Fee Type : FederalApplication review fee for a Financial Consultation

  1000Payment Method: Cards

• Fee Type : FederalApplication review fee for a Financial Advisor (Issuance Manager)

  3000Payment Method: Cards

• Fee Type : FederalApplication review fee for a Listing Advisor

  3000Payment Method: Cards

• Fee Type : FederalApplication review fee for a Promotion

  3000Payment Method: Cards

• Fee Type : FederalApplication review fee for a Introducing

  5000Payment Method: Cards

• Fee Type : FederalApplication review fee for a General Clearing

  5000Payment Method: Cards

• Fee Type : FederalApplication review fee for a Portfolio Management

  5000Payment Method: Cards

• Fee Type : FederalApplication review fee for an Investment Fund Management

  5000Payment Method: Cards

• Fee Type : FederalApplication review fee for an Administrative Services for Investment Funds

  3000Payment Method: Cards

• Fee Type : FederalApplication review fee for a Custody

  3000Payment Method: Cards

• Fee Type : FederalApplication review fee for a Registrar of Private Joint Stock Companies

  5000Payment Method: Cards

• Fee Type : FederalApplication review fee for a Covered Warrants Issuer

  3000Payment Method: Cards

• Fee Type : FederalApplication review fee for a Crowdfunding Platform Operator

  5000Payment Method: Cards

• Fee Type : FederalApplication review fee for a Family Investment Management

  3000Payment Method: Cards

• Fee Type : Federal Application review fee for a Securities Market

  1000Payment Method: Cards

• Fee Type : Federal Application review fee for a Central Clearing

  10000Payment Method: Cards

• Fee Type : Federal Application review fee for a Central Depository

  5000Payment Method: Cards

• Fee Type : FederalApplication review fee for a Commodities Market

  1000Payment Method: Cards

• Fee Type : FederalApplication review fee for a Clearing in the Commodities Market

  10000Payment Method: Cards

• Fee Type : FederalApplication review fee for a Brokerage in Commodities Contract

  2000Payment Method: Cards

• Fee Type : FederalApplication review fee for a Profit-Sharing Investment Account Management

  10000Payment Method: Cards

• Fee Type : FederalApplication review fee for a Financial Recommendations’ Provider

  5000Payment Method: Cards

• Fee Type : FederalLicensing fee for a Trading Broker

  5000Payment Method: Cards

• Fee Type : FederalLicensing fee for a Trading Broker

  5000Payment Method: Cards

• Fee Type : FederalLicensing fee for a Trading Broker in Global Markets

  20000Payment Method: Cards

• Fee Type : FederalLicensing fee for a Trading Broker for Unregulated Derivative Contracts and Currencies in the Spot Market

  300000Payment Method: Cards

• Fee Type : FederalLicensing fee for a Financial Products Dealer

  50000Payment Method: Cards

• Fee Type : FederalLicensing fee for a Financial Consultation

  5000Payment Method: Cards

• Fee Type : FederalLicensing fee for a Financial Advisor (Issuance Manager)

  5000Payment Method: Cards

• Fee Type : FederalLicensing fee for a Listing Advisor

  5000Payment Method: Cards

• Fee Type : FederalLicensing fee for a Promotion

  10000Payment Method: Cards

• Fee Type : FederalLicensing fee for an Introducing

  10000Payment Method: Cards

• Fee Type : FederalLicensing fee for a General Clearing

  50000Payment Method: Cards

• Fee Type : FederalLicensing fee for a Portfolio Management

  75000Payment Method: Cards

• Fee Type : FederalLicensing fee for an Investment Fund Management

  35000Payment Method: Cards

• Fee Type : FederalLicensing fee for an administrative Services for Investment Funds

  5000Payment Method: Cards

• Fee Type : FederalLicensing fee for a Custody

  500000Payment Method: Cards

• Fee Type : FederalLicensing fee for a Registrar of Private Joint Stock Companies

  10000Payment Method: Cards

• Fee Type : FederalLicensing fee for a Deposit Bank

  50000Payment Method: Cards

• Fee Type : FederalLicensing fee for a Deposit Bank Agent

  50000Payment Method: Cards

• Fee Type : FederalLicensing fee for a Crowdfunding Platform Operator

  20000Payment Method: Cards

• Fee Type : FederalLicensing fee for a Family Investment Management

  20000Payment Method: Cards

• Fee Type : FederalLicensing fee for a Securities Market

  5000Payment Method: Cards

• Fee Type : FederalLicensing fee for a Central Clearing

  200000Payment Method: Cards

• Fee Type : FederalLicensing fee for a Central Depository

  20000Payment Method: Cards

• Fee Type : FederalLicensing fee for a Commodities Market

  200000Payment Method: Cards

• Fee Type : FederalLicensing fee for a Clearing in the Commodities Market

  200000Payment Method: Cards

• Fee Type : FederalLicensing fee for a Brokerage in Commodities Contract

  15000Payment Method: Cards

• Fee Type : FederalLicensing fee for a Brokerage in Commodities Contract

  15000Payment Method: Cards

• Fee Type : FederalLicensing fee for a Profit-Sharing Investment Account Management

  500000Payment Method: Cards

• Fee Type : FederalLicensing fee for a Financial Recommendations’ Provider

  5000Payment Method: Cards