EN#0395 – UAE Cat 5 Financial Services License, regulated by SCA, for sale
An opportunity to acquire a newly established UAE financial services entity licensed by the Securities and Commodities Authority (SCA) under Category 5. The entity is authorized for Introduction and Financial Consultations and provides a ready-established regulatory structure for a purchaser seeking to undertake advisory and introducing activities in the UAE.
Key Highlights:
- License and Regulatory Status: The entity holds an SCA Category 5 with the following authorized activities:
– Introduction to financial services; and
– Financial Consultations
- Company Structure: The entity is newly established in the UAE and has no reported debt or other financial liabilities.
- Regulatory Status: The entity has no reported regulatory issues with the SCA and, as a newly established company, has limited legacy operational or regulatory exposure.
- Regulatory Capital: The entity currently maintains approx. AED 500k.
- Banking Infrastructure: The entity maintains a corporate bank account with Mashreq Bank
- Compliance Framework: The entity has the required internal policies and procedures in place covering compliance, AML/KYC and risk management, providing an established governance and compliance framework for the licensed activities.
- Operating Expenses: Current monthly operating expenses are approx. AED 50k – 60k.
This UAE SCA-regulated entity represents an opportunity for buyers seeking an established Category 5 – Arrangement and Advice license with authorized Introduction and Financial Consultations activities, existing regulatory capital, banking arrangements and compliance infrastructure already in place.
For further information on the sale of this UAE SCA Category 5 financial services entity, please contact our Mergers & Acquisitions team at info@salvusfunds.com. More entities for sale can be found within our Entity Acquisition or Sale page.
SALVUS Funds’ teams can be engaged for guidance on new license authorizations for investment, payment or crypto-asset services, ongoing regulatory compliance consultancy for regulated entities, and support in acquiring ready-made regulated or registered entities.
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