A fully licensed DFSA-regulated Category 2 Investment Firm is available for acquisition, offering a clean, institution-grade platform for immediate deployment within one of the world’s most respected financial jurisdictions. The entity is in good regulatory standing and supported by a lean operating structure alongside established and in-progress tier-one banking and brokerage relationships.
Key Highlights:
🔹 Company Structure: The entity is a DFSA-regulated investment firm with a clean corporate and operating history. The licence has remained unused commercially, providing a true clean-slate platform.
🔹 Regulatory Status: The firm holds a valid DFSA Category 2 Licence, which authorises:
Advising on Financial Products
Arranging Deals in Investments
Dealing in Investments as Principal
Arranging Custody
Managing Assets
Arranging and Advising on Credit
The entity has successfully transitioned to Category 2 status in line with DFSA Consultation Paper 161, ensuring alignment with the current regulatory framework.
🔹 Legal & Regulatory Standing: There are no pending claims, liabilities, or litigation. All regulatory filings and obligations are in good standing, with a strong compliance record maintained with the DFSA.
🔹 Banking Infrastructure: The firm benefits from established and onboarding relationships with a network of global counterparties, including private, investment, and interdealer banks. The platform also supports open-architecture and insurance solutions.
🔹 Cost Profile: Average monthly operating expenses are approximately USD 25k, covering office premises and appointed officers.
🔹 Current Staff: The structure currently includes one appointed director, who will resume their role post-sale.
This DFSA-regulated Category 2 Investment Firm represents a rare opportunity to acquire a fully authorised, broad-permission platform. It is ideally suited for asset managers, wealth platforms, broker-dealers, and financial groups seeking rapid market entry or regional expansion in a top-tier Middle East regulatory environment, while retaining full control over strategy, staffing, and product scope.
For further information on acquiring the DFSA-regulated Category 2 Investment Firm or exploring other available opportunities, contact our Mergers & Acquisitions team at info@salvusfunds.com or visit our website where more entities for sale can be found within our Entity Acquisition or Sale service. The above is not investment advice nor an invitation to the public to invest. Information is provided strictly for strategic or corporate acquisition considerations among qualified parties.
SALVUS Funds’ teams can assist with new license authorisations, regulatory compliance services, and the acquisition of ready-made, licensed financial entities globally.
