Market Abuse / Surveillance regulatory updates from United Arab Emirates.
We track 8 Market Abuse / Surveillance updates from United Arab Emirates regulators, published by DFSA and ADGM. The archive covers 8 news items. Most recent update: July 2026.
DFSA Awarded Legal Costs in Al Ramz Tribunal Proceedings
Why this matters
DFSA enforcement case involving market abuse allegations against Al Ramz Capital LLC with tribunal cost recovery decision. Informational news update on regulatory enforcement precedent regarding legal cost recovery and unreasonable conduct in tribunal proceedings.
The DFSA publishes Conduct Supervisory Pulse on Personal Account Dealing
Why this matters
DFSA thematic review publication on Personal Account Dealing (PAD) oversight in brokerage firms. Informational guidance document sharing supervisory observations and best practices for conduct risk management in trading environments.
Ministry of Economy and Tourism, Capital Market Authority, and the DFSA launch…
Barings Opens Office In Abu Dhabi
Why this matters
This regulatory update announces the opening of a new Barings office in Abu Dhabi, which is an investment management firm expanding its presence in the Middle East region.
Notice of Amendments to Legislation March 2026
Nasdaq Dubai reopens for trading effective Wednesday, 4 March 2026 at 10.00am…
Why this matters
This regulatory update announces the reopening of Nasdaq Dubai, the international financial exchange based in the Dubai International Financial Centre (DIFC). This is relevant for banking, capital markets, and payments firms operating in or accessing the Dubai market.
Financial Markets Tribunal upholds the DFSA’s decision to impose a fine on Al…
Why this matters
This regulatory update from the DFSA relates to a fine imposed on a broker dealer firm, Al Ramz Capital, for failing to immediately report suspicious transactions that may have constituted market abuse. This is a high priority issue as it involves market integrity and investor protection.
The DFSA fines Ark Capital Management (Dubai) Limited USD 504,000 for market…
Why this matters
This regulatory update from the DFSA imposes a fine on Ark Capital Management (Dubai) Limited for inadequate market abuse systems and controls, as well as failure to notify the DFSA of a proposed change in control.