EN#0310 – DFSA-regulated Category 2 Investment Firm for sale

An opportunity to acquire a DFSA-regulated Category 2 Investment Firm offering a clean, fully licensed platform for immediate deployment across advisory, dealing, asset management, and custody-related activities within one of the world’s most reputable financial jurisdictions. The entity is in good regulatory standing and supported by a lean operational footprint and by established and in-progress tier-one banking and brokerage relationships.

Key Highlights:

• Company Structure: DFSA-regulated investment firm with a clean operating history and no legacy business activity. The licence has remained unused commercially, providing a clean slate platform.
• Regulatory Position: Holds a DFSA Category 2 Licence, authorising:
  – Advising on Financial Products
  – Arranging Deals in Investments
  – Dealing in Investments as Principal
  – Arranging Custody
  – Managing Assets
  – Arranging and Advising on Credit

The firm is fully compliant with DFSA requirements and has transitioned to Category 2 status in line with DFSA Consultation Paper 161.

• Legal Standing: No pending claims, liabilities, or litigation. All regulatory obligations are in good standing.
• Banking Infrastructure: Established and onboarding relationships with a strong network of global counterparties of private, investment, and interdealer banks, as well as having an open-architecture and insurance platforms.
• Monthly Expenses: The monthly expenses are approx. USD 25k covering rent and officers.
• Current Staff: Currently one appointed director who will resume their role post-sale.

This DFSA Category 2 investment firm represents a rare opportunity to acquire a fully authorised platform with broad permissions, strong counterparties, and no operating legacy. It is ideally suited for asset managers, wealth platforms, broker-dealers, or financial groups seeking rapid entry or expansion within a top-tier Middle East regulatory environment, while retaining full control over strategy, staffing, and product scope.

For further information on the sale of this DFSA-regulated Category 2 Investment Firm, please contact our Mergers & Acquisitions team at info@salvusfunds.com. More entities for sale can be found within our Entity Acquisition or Sale service.

SALVUS Funds’ teams can be engaged for guiding on new license authorisations for investment, payments or crypto-asset services, ongoing regulatory compliance consultancy for such licensed entities, and support in successfully acquiring ready-made regulated entities.

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