Experience with SCA-Regulated Entities : Our team has experience supporting brokerage firms operating under SCA regulation and understands the supervisory expectations applicable to licensed activities.
Structured and Risk-Focused Approach : We adopt a structured compliance approach focused on identifying regulatory risks and strengthening internal compliance frameworks.
Practical and Ongoing Compliance Support : Our services are designed to support both immediate compliance needs and ongoing regulatory obligations.
SCA Compliance for Brokerage Firms
SCA Compliance for Brokerage Firms
Brokerage firms operating in the UAE are subject to extensive regulatory oversight by the Securities and Commodities Authority (SCA). These regulations are designed to safeguard market integrity, protect investors, and ensure that brokerage activities are conducted in a transparent and controlled manner. Compliance with SCA requirements is therefore a critical obligation for licensed brokerage firms.
SOKRAB UAE provides specialized SCA compliance services to support brokerage firms in meeting their regulatory obligations, maintaining effective compliance frameworks, and ensuring accurate and timely regulatory reporting in accordance with SCA regulations and directives.
Key Features of Our SCA Compliance Services
Regulatory Compliance Assessment : We review the firm’s compliance with applicable SCA laws, regulations, circulars, and licensing conditions. Our assessment helps identify regulatory gaps and areas requiring corrective action.
Internal Policies & Procedures Review : We review compliance manuals, internal policies, and operating procedures to ensure they are aligned with SCA regulatory expectations and industry best practices.
Regulatory Reporting & Filings Support : We support brokerage firms with the preparation and review of periodic regulatory filings, disclosures, and reports, ensuring submissions are accurate, complete, and timely.
Client Onboarding & Record-Keeping Review : We review client onboarding processes, suitability assessments, and record-keeping practices to assess compliance with SCA requirements and regulatory standards.
Regulatory Inspections & Inquiries Support : We assist brokerage firms in preparing for regulatory inspections and in responding to SCA inquiries, observations, and follow-up requests.
Why Choose SOKRAB UAE for SCA Compliance Services?
Services
Support Ongoing Compliance with Confidence
Whether you require regulatory compliance support, governance advisory, internal compliance audits, or data protection guidance, SOKRAB UAE provides practical and professional compliance solutions tailored to your business needs.
For consultations, compliance support, or engagement inquiries, please contact SOKRAB UAE today.
Ensure Full Compliance with SCA Regulations
Maintain regulatory compliance, strengthen internal controls, and meet ongoing supervisory requirements with SOKRAB UAE’s professional SCA Compliance Services for Brokerage Firms.
For consultations, compliance support, or engagement inquiries, please contact SOKRAB UAE today.
