Electronic Compliance Object · United Arab Emirates
What an agent must know before it acts on a security listed in United Arab Emirates: who regulates, where the filings are stored, what is due when, and which state the issuer is in.
| Field | Value | Source |
|---|---|---|
| Regulator | Capital Market Authority (CMA), formerly the Securities and Commodities Authority (SCA) www.uaecma.gov.ae/en/home.aspx | www.uaecma.gov.ae/en/home.aspx (sca.gov.ae 301-redirects here) |
| Exchange(s) and listings page | Dubai Financial Market PJSC (DFM) — www.dfm.ae/the-exchange/news-disclosures/disclosures Abu Dhabi Securities Exchange (ADX) | www.dfm.ae/ (DFM); https://www.adx.ae/-/media/adx/related-documents/market-rules/adx-rules-book-english.pdf (ADX named as 'Abu Dhabi Securities Exchange'; adx.ae HTML pages returned 403). Nasdaq Dubai / DFSA not checked. |
| Regulated-information store | DFM Disclosures page (price-sensitive information such as quarterly/annual financial statements); ADX equivalent not retrievable www.dfm.ae/the-exchange/news-disclosures/disclosures | www.dfm.ae/the-exchange/news-disclosures/disclosures |
| Periodic disclosure obligations and deadlines | DFM Local Company: interim (unaudited but reviewed) quarterly financial statements — deadline: within forty-five (45) days from the end of the quarter DFM Local Company: summary of preliminary year-end financial statements (unaudited, not reviewed) — deadline: within forty-five (45) days of the end of the financial year DFM Local Company: board report incl. audited year-end financial statements and external auditor's report — deadline: within ninety (90) days of the end of its financial year ADX Local Company (Art. 9): integrated annual report (board report, audited financial statements, auditor's report, sustainability and governance reports) — deadline: within (90) days of the end of its fiscal year, or, at least, ten days before the convening of its general assembly, whichever comes first ADX Local Company (Art. 9): comparative quarterly report with financial statements audited by its auditor — deadline: within (45) days of the end date of the relevant quarter ADX Local Company (Art. 9): summary of final accounts (preliminary, unaudited nor reviewed) — deadline: within (45) days of the end of the fiscal year | assets.dfm.ae/docs/default-source/market-rules/dfm-listing-rules-module-english.pdf?sfvrsn=82811f81_10 (2025 Module Two Listing Rules, Part for Local Companies); https://www.adx.ae/-/media/adx/related-documents/market-rules/adx-rules-book-english.pdf (Operational Rules Booklet, Listing and Disclosure Regulations Art. 9) |
| Ad hoc / inside-information regime | DFM Listing Rules 1.10(b): an Issuer shall provide information and reports to the Market immediately following the occurrence of the event to which they relate, save where an alternative timeframe is stipulated; Rule 1.11 inside information must be published, with delay permitted only if conditions are met and the Market is immediately informed. ADX Art. 9(1): information, reports and decisions that may affect the price of its securities as soon as the company becomes aware of this information or as soon as the relevant reports and decisions are issued | assets.dfm.ae/docs/default-source/market-rules/dfm-listing-rules-module-english.pdf?sfvrsn=82811f81_10 www.adx.ae/-/media/adx/related-documents/market-rules/adx-rules-book-english.pdf |
| Filing format | not found | pages checked: assets.dfm.ae/docs/default-source/market-rules/dfm-listing-rules-module-english.pdf?sfvrsn=82811f81_10 (no XBRL/format rule found; financial statements per international accounting standards accepted by the Authority; signed by chairman or authorised senior management) · www.adx.ae/-/media/adx/related-documents/market-rules/adx-rules-book-english.pdf · www.adx.ae/ (403) |
| ISIN prefix | AE - ANNA lists three entries under the AE prefix: Capital Markets Authority (CMA) for the United Arab Emirates; Nasdaq Dubai Ltd. for UAE-DIFC; Abu Dhabi Global Markets (ADGM) as Other | www.anna-web.org/home/anna-members |
| LEI | not found | pages checked: www.gleif.org/en/about-lei/how-to-get-an-lei-find-lei-issuing-organizations (JS filter, no entries returned) · DFM Listing Rules 2025 (no LEI requirement found by keyword search) |
| Market calendar | DFM Settlement and Trading Calendar page (dates did not render in fetch) www.dfm.ae/the-exchange/news-disclosures/settlement-trading-calendar | www.dfm.ae/the-exchange/news-disclosures/settlement-trading-calendar |
| Filing language(s) | DFM: information and reports in Arabic unless the Market directs or permits otherwise (Rule 1.10(e)(ii)). ADX rules refer to announcements in Arabic and English and notices in newspapers with at least one in Arabic; no single filing-language rule for periodic reports read | assets.dfm.ae/docs/default-source/market-rules/dfm-listing-rules-module-english.pdf?sfvrsn=82811f81_10 |
| Trading halts page | DFM Listing Rules 1.12 'Suspensions of trading' (rule text); no live halts page found on DFM homepage or ADX assets.dfm.ae/docs/default-source/market-rules/dfm-listing-rules-module-english.pdf?sfvrsn=82811f81_10 | assets.dfm.ae/docs/default-source/market-rules/dfm-listing-rules-module-english.pdf?sfvrsn=82811f81_10 |
| Store lookup | DFM Disclosures page - filter by Type, 'Select Companies', date range, keyword www.dfm.ae/the-exchange/news-disclosures/disclosures | www.dfm.ae/the-exchange/news-disclosures/disclosures |
| Node status and door | NODE LIVE · as_of 2026-11-05 · 69 issuers · door https://mcp.ae-cm-kg.ai/mcp mcp.ae-cm-kg.ai/mcp | mcp.capitalmarketsknowledgegraph.ai/mcp (list_nodes, at render) |
| Signal | Reading | When |
|---|---|---|
| ACM-200 | Cleared | The specified read has cleared the applicable registered checks in the stated context. Printed only when the resolver answered it. |
| ACM-403 | Restricted or halted | Evidence establishes a restriction or an applicable halt. The halt is read from the market's halts page named in the fields. assets.dfm.ae/docs/default-source/market-rules/dfm-listing-rules-module-english.pdf?sfvrsn=82811f81_10 |
| ACM-404 | Not on the register | The named lookup target is absent from this market's register. It establishes neither global absence nor prohibition. |
| ACM-451 | Read the filing | The binding requires the identified filing to be read before a conclusion. The answer names it. |