Authority and scope
Sections ↑The Dubai Financial Services Authority regulates financial services conducted in or from the Dubai International Financial Centre. Its mandate covers investment dealing and advice, custody, funds, banking, insurance and other financial activities. It also supervises anti-money-laundering and counter-terrorist-financing requirements for its regulated DIFC community.[1]
Registers and permission checks
Sections ↑How to read a DFSA firm entry
| Field | What it establishes | Comparison use |
|---|---|---|
| Legal name and reference number | Identity of the listed firm | Match the contracting company, not just its brandSource 2 |
| Financial services and investments | Permitted activities and relevant investment types | Check that the proposed service is coveredSource 3 |
| Endorsements | Specified permissions, such as retail business or client assets | Read the actual firm’s endorsementsSource 3 |
| Restrictions | Limits qualifying a permission | A dealing permission may contain a matched-principal conditionSource 3 |
The public directory separates authorised firms from other categories, including registered auditors and designated non-financial businesses. A search result alone therefore does not establish the permissions needed for a brokerage account. The individual firm record supplies the relevant activity and restriction detail.[2]
Check the exact legal entity, permissions, current status and scope in the official record. A brand connection in our coverage does not establish authorisation.
Rules for firms and products
Sections ↑COB 6.16 addresses Restricted Speculative Investments offered to retail clients. It requires an appropriateness assessment, including knowledge and ability to bear losses, and a separate risk warning before the account is opened. A firm’s generic category must therefore be read alongside retail endorsements and the product-specific rules.[5]
Minimum opening margin under COB 6.16
| Subject | What it means |
|---|---|
| Major / other currency pairs | 3.3% for specified major pairs; 5% for other currency pairs.Source 5 |
| Indices, gold and government debt | 5% for major indices, gold and specified government debt; 10% for other indices.Source 5 |
| Other commodities / crypto tokens | 10% for other commodities; 50% for Crypto Tokens.Source 5 |
| Other underlying assets | 20%. Check the rule’s definitions and product scope before classifying the contract.Source 5 |
Client assets and protections
Sections ↑For these retail RSI accounts, the rulebook requires close-out when net equity falls below 50% of the overall margin requirement, subject to market conditions and best execution. The account-level negative-balance rule limits liability to funds in the account, including net unrealised profits. Incentives are also restricted. These trading protections do not establish a firm-failure compensation scheme.[5]
Complaints and redress
Sections ↑The DFSA asks customers to approach the authorised firm first and retain a written record. An unresolved regulatory complaint can then be submitted in writing, with the parties’ details, a chronology and relevant correspondence. The authority receives reports about matters such as misleading sales statements, unsuitable products and misuse of client funds.[4]
Its complaints remit depends on DIFC jurisdiction and the laws or rules it administers. A complaint involving another jurisdiction may belong with a different authority. The existence of a Dubai office, on its own, does not identify the regulator or establish which company holds the customer’s account.[4][1]
A DFSA complaint is a supervisory submission
| Subject | What it means |
|---|---|
| Start with the firm | Use its written complaint process and keep the response before submitting an unresolved concern.Source 4 |
| Scope | Identify the DIFC-regulated activity and suspected contravention. The DFSA is not the general regulator for all business across the UAE.Source 4 |
| What to send | A chronology, the exact company and supporting account/communication evidence help the Authority assess the allegation.Source 4 |
| What to expect | The DFSA aims to assess complaints within 28 days. This is not a payment or dispute-settlement guarantee; confidentiality can restrict what it can disclose.Source 4 |
Official contacts and resources
Sections ↑Official DIFC routes
Scope Read the firm, authorised activities, retail/client-asset endorsements and restrictions together.
Scope The consumer process is separate from complaints about the DFSA itself.
Scope Use the live consolidated provisions for applicable product conditions.
COB 6.16: Restricted Speculative Investments
- Responsible body
- Dubai Financial Services Authority Rulebook
- Scope
- Retail RSI appropriateness, warnings, margin schedule, close-out, account negative-balance and incentives.
- Resource availability
- Available
- Checked
- Source 5
Consumer complaints
- Responsible body
- Dubai Financial Services Authority
- Scope
- Firm-first complaint, DIFC scope, 28-day assessment aim and supervisory confidentiality.
- Resource availability
- Available
- Checked
- Source 4
Resource availability describes the documented route. It does not establish eligibility, authorisation or compensation coverage.
Report misconduct, scams or a clone
Sections ↑This profile has not yet established the applicable procedure, receiving body and eligibility for this task. Consult the authority’s official resources and check your firm, product and circumstances before acting.
Compensation & firm failure
Sections ↑This profile has not yet established the applicable procedure, receiving body and eligibility for this task. Consult the authority’s official resources and check your firm, product and circumstances before acting.
Sources & further reading
- The DFSA: mandate and jurisdiction Dubai Financial Services Authority · Accessed 9 Oct 2026
- Public register: firms Dubai Financial Services Authority · Accessed 9 Oct 2026
- Fortrade (DIFC) Limited: current firm record Dubai Financial Services Authority · Accessed 9 Oct 2026
- Consumer complaints: remit and submission process Dubai Financial Services Authority · Accessed 15 Oct 2026
- COB 6.16: Restricted Speculative Investments Dubai Financial Services Authority Rulebook · Accessed 15 Oct 2026
A documented resource is not a finding of eligibility or compensation coverage. Consult the named body and current official terms for your firm, product and circumstances.
Report an error or submit an update
Covered broker profiles
Profiles connected to this authority in our coverage. This is not a complete official register or a list of approved brokers; see each entity’s dated status.
baraka
A detailed UAE and GCC profile of baraka’s subscription plans, US and GCC stocks and ETFs, fractional investing, options, physical-gold exposure, funding and withdrawals, third-party execution and custody, DFSA regulation and investor-protection boundaries.
- Operating status
- Active
- Headquarters
- Dubai International Financial Centre, Dubai, United Arab Emirates
- Sources checked
- 15 Oct 2026
Fortrade
Fortrade’s Mauritius CFD prices and payment thresholds, differing inactivity triggers, client-money hedging provisions, account termination and regional company distinctions.
- Operating status
- Active
- Headquarters
- UK principal business address: Michelin House, 81 Fulham Road, London SW3 6RD
- Sources checked
- 15 Oct 2026
M4Markets
A detailed guide to M4Markets’ offshore MT4/MT5 accounts, European cTrader offer, funding, swap-free limits, copying, managed accounts and entity-specific protections.
- Operating status
- Active
- Sources checked
- 22 Oct 2026