DFSA License Status: Active
License F003456 | Category 3C | Next Renewal: January 15, 2026
Authorized Firm
Capital Surplus
$750K
250% of requirement
Client Money
$185M
segregated & protected
Compliance Rate
100%
45/45 requirements
Key Principals
4
DFSA approved
DFSA License Details
License Information
License Number:F003456
Category:
Category 3C
Issue Date:January 15, 2021
Next Renewal:January 15, 2026
Authorized Activities
Managing Assets
Advising on Financial Products
Arranging Deals in Investments
Endorsements
Retail Endorsement
Operate a Fund
Prudential Information Business (PIB) Returns
| Reference | Return Name | Frequency | Last Filed | Next Due | Status |
|---|---|---|---|---|---|
PIB-1 | Statement of Financial Position | Quarterly | October 31, 2025 | January 31, 2026 | Filed |
PIB-2 | Statement of Comprehensive Income | Quarterly | October 31, 2025 | January 31, 2026 | Filed |
PIB-3 | Capital Adequacy Return | Quarterly | October 31, 2025 | January 31, 2026 | Filed |
PIB-4 | Client Money Return | Quarterly | October 31, 2025 | January 31, 2026 | Filed |
PIB-5 | Liquid Assets Return | Quarterly | October 31, 2025 | January 31, 2026 | Filed |
AUD | Annual Audited Financial Statements | Annual | March 31, 2025 | March 31, 2026 | Filed |
AML-R | AML/CTF Annual Report | Annual | December 31, 2024 | December 31, 2025 | Pending |
Capital Adequacy
Base Capital Requirement$500K
Expenditure-Based$425K
Risk-Based Capital$380K
Total Requirement$500K
Actual Capital$1250K
Surplus$750K
Client Money & Assets
Client Money$185.0M
Client Assets$2850.0M
Segregated Accounts3
Daily Reconciliation
Complete
Acknowledged Accounts
Yes
External AuditorKPMG Lower Gulf Limited
DFSA Approved Key Personnel
| Name | Role | DFSA Approval Date | Status |
|---|---|---|---|
| Mohammed Al-Hashimi | Senior Executive Officer | January 2021 | Active |
| Sarah Williams | Finance & Operations Officer | March 2021 | Active |
| David Chen | Compliance Officer | January 2021 | Active |
| Emma Thompson | Money Laundering Reporting Officer | February 2021 | Active |
DFSA Regulatory Framework
Conduct of Business (COB) Module
Rules governing conduct with clients, client classification, conflicts of interest, and fair treatment principles for DIFC-based financial services.
Client Assets (CASS) Module
Requirements for holding and protecting client money and assets, including segregation, reconciliation, and acknowledgement letter obligations.
Anti-Money Laundering (AML) Module
AML/CTF requirements including customer due diligence, suspicious transaction reporting, and compliance with DFSA AML rules and UAE federal AML laws.
Prudential Returns (PIB) Module
Quarterly prudential reporting requirements covering capital adequacy, liquidity, financial position, and regulatory ratios for Category 3C firms.
Key Contacts
- DFSA Supervision: Category 3C Team
- Portal: DFSA Online Reporting System
- Last DFSA Contact: June 2024
- Next Review: Q2 2026
Upcoming Deadlines
- Q4 2025 PIB Returns: January 31, 2026
- Annual Audited Accounts: March 31, 2026
- AML Annual Report: December 31, 2025
- License Renewal: January 15, 2026