• Compliance with Rule GEN 11.2 of the DFSA Rulebook and refer to RPP Chapter 9
  • Submitted Authorisation Enquiry and eligibility confirmation from the DFSA
  • DFSA E-services Portal Login Credentials
  • Apply: Complete the above pre-requisites and submit the application form on the E-services portal. The DFSA will issue a fee invoice. Upon payment of the fees, the application will be accepted for evaluation.
  • Evaluate: The DFSA will conduct a thorough assessment of the application. In cases of insufficient information, a request will be made for additional information.
  • Approve: Upon satisfactory assessment, you'll receive a waiver/modification notice.

Firm can provide any relevant document to support its case

Details of fees can be found in the Fees Module Fees Module(FER) of the DFSA Rulebook. Fees are paid through bank transfer to the DFSA.

Obtain a modification or a waiver of specific Rules or Articles of the Markets Law where there are appropriate and justifiable reasons.

SERVICE FEES
USD 4,000
PAYMENT METHOD
Bank Transfer

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Obtain Authorisation to be an Authorised Individual

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Request for New Authorisation (Principal Representative /Authorised Individual)

Obtain Authorisation to become a Principal Representative

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Request for New Authorisation (Authorised Individual)

Obtain Authorisation to be an Authorised Individual

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Request to Amend Authorisation (Authorised Individual)

Update or modify your authorised individual application status within the DFSA framework.

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Request for Information (Unregulated Entity)

Enquiry to DFSA related to regulatory matters within the DIFC

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Submit Compliant (DFSA)

File a formal complaint if you believe DFSA acted improperly or unfairly.

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authorisation-firms
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Submit Compliant (Entities)

File a complaint against a DFSA-authorised firm if you believe they acted improperly.

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authorisation-firms
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Submit Feedback (General)

Tell us your thoughts on how DFSA can better serve the financial community.

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authorisation-firms
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Request for New Authorisation (Principal Representative /Authorised Individual)

Obtain Authorisation to become a Principal Representative

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authorisation-firms
Supervise
Request for Information (Supervision Enquiry)

Get answers to your questions related to DFSA's supervision .

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authorisation-firms
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Request to Amend Supervision (Authorised Individual)

Update or modify Authorised Individual status within the DFSA framework.

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Submit Prudential Reports

Submit Financial Reports

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Submit Non - Prudential Reports

Submit Non-Financial Reports

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Revoke Authorisation (Individuals)

Relinquish your authorisation as a DFSA Authorised Individual.

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Submit Notifications

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ENQUIRY

AUTHORISE

SUPERVISE

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REGISTER

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authorisation-firms
Authorise
Request to Amend Authorisation (Authorised Individual)

Update or modify your authorised individual application status within the DFSA framework.

Read more

Authorise
authorisation-firms
enquiry
Request for Information (Unregulated Entity)

Enquiry to DFSA related to regulatory matters within the DIFC

Read more

enquiry
authorisation-firms
enquiry
Submit Compliant (DFSA)

File a formal complaint if you believe DFSA acted improperly or unfairly.

Read more

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authorisation-firms
Enquiry
Submit Compliant (Entities)

File a complaint against a DFSA-authorised firm if you believe they acted improperly.

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authorisation-firms
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Submit Feedback (General)

Tell us your thoughts on how DFSA can better serve the financial community.

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Request for Appointment for takeovers (Sponsor / Compliance Officer)

Sponsor/Compliance Adviser appointment, corporate actions and takeovers

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Request for Authorisation Amendment (Key Individual)

Become a Key Individual within an AMI. Also, amend KI status within an AMI

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authorisation-firms
Register
Request for New Authorisation (Key Individual)

Become a Key Individual within an AMI. Also, amend KI status within an AMI

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Register
authorisation-firms
Supervise
Request for Information (Supervision Enquiry)

Get answers to your questions related to DFSA's supervision .

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Supervise
authorisation-firms
Supervise
Request to Amend Supervision (Authorised Individual)

Update or modify Authorised Individual status within the DFSA framework.

Read more

Supervise
authorisation-firms
Supervise
Submit Prudential Reports

Submit Financial Reports

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authorisation-firms
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Submit Non - Prudential Reports

Submit Non-Financial Reports

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authorisation-firms
Withdraw
Request to Remove Key Individual

Apply for removal of Key Individual status within a DFSA AMI.

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authorisation-firms
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Revoke Authorisation (Individuals)

Relinquish your authorisation as a DFSA Authorised Individual.

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Submit Notifications

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Request for New Authorisation (Representative Offices)

Obtain Authorisation to establish a new Financial Services firm.

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Authorise
authorisation-firms
Authorise
Request for Modification or Waivers of Rules

Obtain modifications or a waiver

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authorisation-firms
Authorise
Request for Amendment of Authorisation Scope

Expand or adjust your authorised activities within the DFSA regulatory framework.

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authorisation-firms
Authorise
Request for Amendment to Ownership or Control Structure

Report and gain approval for changes in your authorised firm's ownership or control structure.

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authorisation-firms
enquiry
Request for Information (Unregulated Entity)

Enquiry to DFSA related to regulatory matters within the DIFC

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enquiry
authorisation-firms
enquiry
Submit Compliant (DFSA)

File a formal complaint if you believe DFSA acted improperly or unfairly.

Read more

enquiry
authorisation-firms
Enquiry
Submit Compliant (Entities)

File a complaint against a DFSA-authorised firm if you believe they acted improperly.

Read more

Enquiry
authorisation-firms
Enquiry
Submit Feedback (General)

Tell us your thoughts on how DFSA can better serve the financial community.

Read more

Enquiry
authorisation-firms
Supervise
Request for Information (Supervision Enquiry)

Get answers to your questions related to DFSA's supervision .

Read more

Supervise
authorisation-firms
Supervise
Request for Amendment of Supervision Scope

Apply to change the scope of your DFSA licence

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authorisation-firms
Supervise
Request for Amendment to Ownership or Control Structure

Notify the DFSA, or apply for written approval, of changes of control.

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Request for Modification or Waivers of Rules

Request flexibility in applying DFSA rules due to specific circumstances.

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Submit Prudential Reports

Submit Financial Reports

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authorisation-firms
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Submit Non - Prudential Reports

Submit Non-Financial Reports

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authorisation-firms
Withdraw
Revoke Authorisation (Firms)

Withdraw your Licence as a DFSA-regulated firm.

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Withdraw
authorisation-firms
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Submit Notifications

Submit Notifications

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authorisation-firms
Authorise
Request for New Authorisation (Representative Offices)

Obtain Authorisation to establish a new Financial Services firm.

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Authorise

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