The UAE Securities and Commodities Authority has rolled out an updated risk assessment methodology for licensed companies, setting a developed annual risk assessment model as the core framework for the next phase of risk-based supervision. The approach was introduced through an expanded workshop and positioned as part of a shift to smart supervision aligned with international best practices and the UAE’s regulatory requirements. The methodology targets key areas affecting market stability, including money laundering and terrorist financing risks, financial and solvency risks, market behaviour and investor protection, operational and governance risks, and cybersecurity and technology risks. The Authority also presented a new electronic system for receiving firms’ responses through secure digital forms, aimed at improving data consistency and report quality while simplifying compliance, reducing the frequency of regulatory requirements and reports, and streamlining data collection; the workshop drew more than 587 participants from more than 215 companies. The Authority said it will continue engagement with licensed companies to support smooth and full implementation of the methodology.
UAE Securities & Commodities Authority 2025-12-05
UAE Securities and Commodities Authority launches updated annual risk assessment methodology and electronic response system for licensed firms
The UAE Securities and Commodities Authority has introduced an updated risk assessment methodology for licensed companies, focusing on market stability and smart supervision aligned with international standards. This includes a new electronic system for secure data collection, aiming to enhance compliance and streamline reporting, with ongoing engagement to ensure smooth implementation.