Capital Markets Law in UAE

  • Home
  • Expertise
  • Capital Markets Law in UAE

Clear Guidance on Capital Markets and Securities Matters

Capital markets transactions in the UAE involve specific regulations and compliance requirements. Whether you are preparing for an IPO, managing regulatory obligations, or handling investment disputes, our team at AL ATEIBI provides advice and representation to protect your interests.

Our Capital Markets Services

Securities Law

Support for Public and Private Offerings We assist with securities offerings, regulatory filings, and ensuring compliance with SCA regulations and Federal Law No. 2 of 2017.

Services include:

  • Drafting and reviewing prospectuses and offering documents
  • Preparing SCA regulatory filings and approvals
  • Advising on IPO and secondary offering procedures
  • Conducting due diligence and disclosure reviews
  • Guidance on ADX, DFM, and NASDAQ Dubai listing requirements
Book a Securities Law Consultation

Regulatory Compliance

Ongoing Compliance and Risk Management We help financial institutions and public companies maintain compliance with UAE capital markets regulations and reporting requirements.

Services include:

  • Drafting and reviewing compliance policies and procedures
  • Managing ongoing SCA reporting obligations
  • Advising on market conduct and insider trading rules
  • Handling regulatory investigations and enforcement
  • Compliance advice for fund managers and investment advisers
Get Legal Help for Regulatory Compliance

Investment Transactions

Handling M&A and Corporate Finance We represent clients in mergers, acquisitions, and other investment transactions involving public and private companies.

We handle:

  • Public takeover and merger transactions
  • Private equity and venture capital investments
  • Restructuring and corporate reorganizations
  • Joint ventures and strategic partnerships
  • Cross-border investment and financing deals
Speak to a Corporate Finance Lawyer

Why Choose AL ATEIBI

  • Experienced in UAE securities law and SCA regulations
  • End-to-end support from structuring to completion
  • Arabic and English language capability
  • Clear advice focused on your specific matter

Frequently Asked Questions

Companies need minimum share capital, trading history, and shareholder numbers. We review eligibility and handle the application process.

Initial prospectus reviews typically take 30-45 days. The timeline depends on document completeness and any SCA comments.

Public companies must file annual reports, quarterly updates, and immediate disclosure of material events affecting share prices.

Yes, but they must meet specific requirements including UAE incorporation or establishing a local presence with SCA approval.

Penalties include fines up to AED 50 million, trading suspensions, and potential criminal charges for serious violations like market manipulation.

Private placements to qualified investors may be exempt, but some notification requirements still apply. We advise on applicable exemptions.

Market manipulation includes spreading false information, creating artificial demand, or coordinating trades to affect prices unfairly.

Listed companies must have independent directors, audit committees, and comply with ongoing disclosure and reporting standards.

Yes, offerings to qualified institutional investors may use simplified prospectuses with reduced disclosure requirements.

The exchange may suspend trading, require remedial action, or ultimately delist the company depending on the severity of non-compliance.