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A boutique consultancy in the DIFC and the ADGM.
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DFSA SEO Letters - Brokerage
This podcast is the first of a series that specifically addresses the DFSA Seo Letters that are published from time to time. Today, we have a detailed look into the SEO Letter related to Brokerage Business Models.
The DFSA conducted risk assessments on brokerage firms to evaluate compliance with regulatory obligations in General (GEN), Conduct of Business (COB), and Anti-Money Laundering (AML) modules. Here are some key findings. -
DIFC Advisory and Arranger License
Today, let's discuss the advisory and arranger license from
the DIFC. Popularly known as the Category 4 Advisory license, this is the entry point for aspiring firms to start offering financial services from the centre.
DIFC is one of the world’s top ten onshore financial centers and offers a secure and efficient platform for businesses and financial institutions to reach into and out of the emerging markets of the region. The quality and independence of DIFC’s regulator, the prevailing common law framework, excellent infrastructure and tax efficiencies make it the perfect base to take advantage of the rapidly growing demand for financial and business
services in the MENASA region.
DIFC fills the time-zone gap for a global financial centre
between the leading financial centres of London and New York in the West and Hong Kong and Tokyo in the East.
You can also read all about it here.