Regulatory Information

Regulatory Framework

[PLACEHOLDER] Universal Asset Management operates under a Category 3C license issued by the DFSA, which authorizes us to manage assets, advise on financial products, arrange deals in investments, and operate as a fund manager within the DIFC.

About the DFSA

The Dubai Financial Services Authority (DFSA) is the independent regulator of financial services conducted in or from the Dubai International Financial Centre (DIFC). The DFSA's regulatory mandate covers asset management, banking, securities, collective investment funds, and insurance. The DFSA is recognized internationally and has signed cooperation agreements with regulators in over 80 jurisdictions.

About the DIFC

The Dubai International Financial Centre (DIFC) is the leading financial hub in the Middle East, Africa, and South Asia (MEASA) region. Established in 2004, the DIFC operates under an independent legal framework based on English common law, with its own courts and arbitration centre. The DIFC is home to over 4,000 companies and provides a world-class platform for financial institutions.

Investor Protection

[PLACEHOLDER] UAM maintains robust investor protection measures in compliance with DFSA requirements, including:

Segregation of client assets
Independent auditing and reporting
KYC and AML compliance procedures
Investor suitability assessment
Complaints handling procedures

Risk Disclaimer

Investment products offered by Universal Asset Management are subject to market risk. Past performance is not indicative of future results. The value of your investments may go down as well as up, and you may not recover the amount originally invested. You should seek independent financial advice before making any investment decisions.

Contact the Regulator