UAE compliance guide
CMA KYC requirements for UAE capital markets firms
How the UAE Capital Market Authority's AML expectations apply to brokers, investment managers and other securities firms onboarding investors.
Short answer
The UAE Capital Market Authority (CMA) expects the securities firms it licenses to verify investor identity, screen investors and their beneficial owners, assess risk, and keep records that support inspection. Corporate investors require KYB, including their ultimate beneficial owners.
Last reviewed by the ITSEC compliance team. General information, not legal advice.
Who does the CMA regulate?
Securities and commodities firms on the UAE mainland, such as brokers, investment managers and advisers.
What changes for corporate investors?
The entity itself must be verified, its ownership mapped to the beneficial owners, and its authorized signatories identified and screened.
Frequently asked questions
- Is the CMA the same as the SCA?
- The CMA is the current name of the UAE's federal securities regulator. Use the CMA's current publications as the source of truth.
Official sources
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