The companies, products and regulatory developments shaping the broker industry.
The DFSA says four of the seven reported confidentiality incidents involved external recipients and cites the absence of a replacement security tool among control failures.
The DFSA's newly released tokenisation white paper places custody, settlement interoperability and cross-border responsibilities at the centre of market-structure development.
Seven disclosure incidents were reported to the regulator between December 2023 and May 2026. The decision identifies a gap between removal and replacement of an email-security control.
The notice separates a May decision, a June tribunal reference and its October strike-out. Peters was never a DFSA Authorised Individual.
The settled case concerns where advice and onboarding took place. Vault Wealth’s authorisation in Abu Dhabi Global Market did not authorise those services from Dubai International Financial Centre.
The DFSA register identifies Robinhood MENA Limited’s retail endorsement and two arranging permissions; the regional product launch remains planned for 2027.
Robinhood MENA’s DFSA licence dates from July; the October expansion announcement targets a regional product launch in 2027.
An ADGM-licensed wealth firm’s advice and onboarding work in a related DIFC office led to enforcement. The decision shows why the location and substance of client activity matter alongside the licence held by the contracting company.
The redesigned B110 return replaces B180 and B120 under changes effective from 2 October. Credit-rating and related rulebook amendments follow on 1 January 2027, while the consultation’s token proposals remain for later consideration.