The federal markets regulator
What CMA supervision asks of a licensed firm
Securities firms, brokers, investment managers and other licensed market participants outside the financial free zones answer to the Capital Market Authority for conduct, client assets, governance and operational resilience. We map those requirements to one control set and keep the evidence ready for your next inspection.
Get ready for your CMA review
The systems, controls and data side of your CMA license
CMA regulates onshore capital markets in the UAE.
The UAE Capital Market Authority is the regulatory authority for all capital markets activities in the United Arab Emirates outside of financial free zones. CMA licenses and supervises securities brokers, dealers, investment managers, advisers, custodians, market makers, clearing houses, and fund managers. CMA establishes conduct of business rules, client asset protection requirements, market conduct standards, disclosure obligations, and governance frameworks. CMA conducts regular inspections examining compliance with licensing conditions, operational procedures, client protection, and market integrity requirements.
One control set for the CMA requirements that apply to your license.
Prepare the CMA Licensing File
CMA requires complete licensing for all capital markets activities: detailed business plans, financial resources, qualified personnel, systems and controls, policies and procedures, and operational readiness. Licensing applications face rigorous review examining business model viability, management competence, financial adequacy, and investor protection capabilities. Licensing failures prevent market entry, firms cannot conduct securities activities without CMA authorization. We map the requirements attaching to the permissions you hold or are applying for, assess the gaps, and help organize the policies, controls and evidence the file needs. Authorization remains solely at the regulator’s discretion.
Requirements mapped to the permissions you hold or are applying for.
Implement Conduct of Business Standards
CMA mandates complete conduct standards: client classification, suitability assessments, appropriateness tests, best execution, conflicts of interest management, disclosure requirements, and fair treatment. Capital markets involve retail investors requiring protection from unsuitable products and conflicts. We assess whether the conduct policies, the client-classification procedure and the disclosure controls exist and are current, and track remediation where they are not. Classifying a client, judging suitability and executing the obligation are regulated functions that stay with the licensed firm.
Conduct policies, client classification and disclosure controls checked and kept current.
Evidence Client-Asset Protection
CMA requires strict client asset protection: segregation of client funds and securities, reconciliation procedures, custody arrangements, nominee accounts, and client money rules. Client assets represent investor savings, retirement funds, and wealth requiring absolute protection. AccuSights maps the client-asset requirements, assesses whether the segregation, reconciliation and custody controls exist, assigns remediation and keeps the documentation CMA requires for investor protection. Segregation, reconciliation and custody are operated by the licensed firm.
We map the client-asset requirements, assess the controls and keep the evidence.
Implement Complete AML/CTF Programs
CMA mandates anti-money laundering and counter-terrorist financing controls aligned with UAE Federal requirements: customer due diligence, enhanced due diligence for high-risk clients, ongoing monitoring, sanctions screening, suspicious transaction reporting, and record keeping. Capital markets are vulnerable to financial crime, securities can support money laundering and terrorist financing. AccuSights maps the AML/CTF requirements, assesses whether the required policies and controls exist, assigns remediation and keeps the records CMA and the federal rules require. Due diligence, screening, transaction monitoring and suspicious transaction reporting are done by the licensed firm.
We map the AML/CTF requirements, assess the control gaps and keep the records.
Maintain Corporate Governance Standards
CMA requires strong governance: board composition and independence, management structure, risk management frameworks, internal controls, compliance functions, internal audit, and whistleblowing procedures. Listed companies and regulated firms must demonstrate effective governance protecting investor interests. We map the governance requirements to what you have, assess whether the structures, mandates and controls are documented and current, assign remediation and link the evidence behind each answer.
Board structure, risk management and internal controls documented and current.
Prepare for CMA Regulatory Inspections
CMA conducts regular inspections examining licensing compliance, conduct of business standards, client asset protection, AML/CTF programs, corporate governance, operational procedures, systems and controls, and regulatory reporting accuracy. Inspections assess actual business practices against regulatory requirements and licensing conditions. We keep the readiness record current between inspections, so what the regulator asks for is a report you already hold rather than a scramble.
A readiness record kept current between inspections.
Why Capital Markets Firms Choose This Path
From the first gap assessment to a record ready for CMA inspection.
Organizations working with us:
Ready for Inspection
Each control has an owner and current evidence, so an inspector asking for proof gets a document the same day.
Evidence for the Licensing File
Documentation for the systems, controls and data parts of your CMA application, kept current instead of rebuilt for each submission.
Investor Protection Evidence
Conduct, client-asset and disclosure requirements mapped to your license, with owners and evidence for each.
Prove Client-Asset Protection
Client-asset requirements mapped, and the segregation, reconciliation and custody controls assessed and evidenced. The controls themselves run in your own systems.
Prove the AML/CTF Program
The CMA and federal AML/CTF requirements mapped to your license, with control gaps assessed and evidence kept. Screening and reporting run in your own systems.
Maintain Market Authorization
Licensing conditions, conduct standards and reporting deadlines tracked, with the evidence kept current between inspections.
Built for CMA readiness and continuous capital-markets compliance management.
What the CMA expects of a licensed firm
The rulebook reaches every capital markets activity. We map it, assess it and keep the record; we do not run it.
UAE Capital Market Authority regulations set requirements across licensing and authorization, conduct of business, client asset protection, market conduct, disclosure and transparency, corporate governance, AML/CTF, risk management, operational resilience, and regulatory reporting. We map those requirements, assess whether the required policies and controls exist, assign remediation and keep the readiness record current for inspection. Operational execution stays within the licensed firm and its specialist systems.
We map the requirements, assess what is in place and keep the record current for inspection.
AccuSights maps applicable regulatory requirements, assesses whether the required policies and controls exist, assigns remediation, links supporting evidence and maintains readiness records. Operational execution remains within the licensed institution and its specialist systems.
CMA Regulatory Areas
Areas the CMA supervises