UAE Capital Market Authority: activity permissions, complaints and remedies

The Authority describes its role as developing and enforcing the capital-market framework, protecting investor rights and promoting fair transactions. Its current website uses the Capital Market Authority name.[1]

Authority

Capital Market Authority

Jurisdiction

United Arab Emirates

Remit

UAE capital-market oversight, investor protection and regulation of financial-market activities.

A generic directory page establishes the lookup route, not a named company’s current authorisation. Firm-level evidence status is stated separately in each broker profile.[2]

Open the official register ↗

Check the exact legal entity, permissions, current status and scope in the official record. A brand connection in our coverage does not establish authorisation.

The activity category determines what the local company can do. The directory’s Category 5 warning matters particularly where an introducer advertises another group company’s trading service. Identify who solicits or advises, who executes, who issues the derivative and who receives money; those functions must not be attributed to the UAE company unless its permission supports them.[2]

The presence of a local introducing or advisory company does not establish that the trading account’s assets are held by that company or protected under its permission. The trading contract and payment instructions identify the company whose client-asset terms and failure arrangements need to be assessed. Avoid describing a group-wide UAE protection when the execution account is with another legal entity.[2]

The complaint service concerns transactions within the authority’s jurisdiction and its stated conditions, including the relevant licensing relationship. An allegation about an unlicensed operator or a company in a separate financial-free-zone framework needs the correct regulator and reporting route. The authority’s regulations index helps identify the operative domestic activity framework.[1][4]

CMA’s complaint service distinguishes corrective regulatory action from a demand for compensation, which it directs to the courts. A complaint decision can therefore serve a different purpose from a damages award. The service also describes a 30-day appeal route; use the actual decision and current procedure for the deadline.[3]

Use the capital-market complaint service for its current form, required documents and case instructions. For a permissions question, start with the licensed-companies directory and specify the legal entity and proposed activity rather than asking only whether a brand is regulated.[3][2]

Use the authority’s official website for current official routes. Purpose-specific resources have not yet been established in this profile.