Case Study: How the Hub Helped One Adviser Settle into the UAE

The Regulatory Fog in the UAE

For professionals operating in or relocating to the UAE, understanding local regulation can feel like navigating a maze blindfolded.

There isn’t a single regulator to deal with — there are several. The Securities and Commodities Authority (SCA), Dubai Financial Services Authority (DFSA), Financial Services Regulatory Authority (FSRA), and the Central Bank of the UAE all oversee different sectors and jurisdictions.

The result? Confusion.

Public guidance is often vague. Definitions of “promotion” or “advice” vary depending on who you ask. And most legal support on offer is either too theoretical or geared towards large institutions — not the practical realities of an independent adviser trying to stay on the right side of the rules.

This was exactly the situation - let's call him - Sam found himself in.

From Global Experience to Local Rules

Sam had built a solid career as an expat financial adviser. Over more than a decade, he had served clients across Europe, Asia, and the Middle East.

But in early 2024, he made the move to Dubai with his family. He wanted to be closer to his growing Gulf-based client base, and saw opportunity in building deeper relationships with clients on the ground.

The challenge? How can a UAE-based adviser, firstly, operate from the UAE to continue advising his international clients; and, secondly, what were the marketing and promotion rules in the UAE for soliciting UAE-based clients.

He wasn’t looking to set up a licensed business straight away, but he needed clarity: Was his existing website compliant? Could he continue engaging with clients in the UAE under his existing licence, and if not what license was needed? What could or couldn’t he say in marketing materials?

Too Many Regulators, Not Enough Clarity

Sam knew the risk wasn’t just theoretical. A poorly worded disclaimer or an email sent to the wrong audience could trigger regulatory scrutiny — or worse, sanction.

But trying to find reliable, straight-talking legal advice on UAE financial promotion rules proved harder than expected. Larger firms wanted a full engagement. Others simply didn’t specialise in regulatory law. He needed someone who knew the rules and understood how the regulators interpret them in practice.

A Simple Ask, the Right Introduction

That’s when he came to the Private Office Hub, referred by an industry associate who utilised our Hub to provide greater levels of service to his expatriate clients beyond wealth management.

Sam submitted a request via our Hub asking whether we could point him to a UAE-based legal adviser who specialises in cross-border financial regulation. We connected him with one of our trusted regulatory legal partners — a lawyer with deep experience advising international financial institutions, funds, advisers, and private banks on UAE compliance frameworks, particularly promotion restrictions in the UAE.

They set up a consultation within 48 hours.

Practical Guidance, Not Legal Jargon

Over one call and a short follow-up, Sam got exactly what he needed:

• A review of his website and disclaimers
• Clarity on how UAE law distinguishes between promotions, advice, and solicitation
• An overview of the relevant rules from the SCA and DFSA
• Tailored advice on how to reduce risk without overhauling his business model

What the Private Office Hub Delivers

The Private Office Hub didn’t give Sam legal advice — it gave him access to the right adviser, fast.

That’s exactly why we built it.

What started as a network for our own clients — high-net-worth individuals and business owners looking for reliable legal, tax, and property professionals — has become a gateway for globally minded professionals to find the support they need, without the noise.

Whether you’re relocating to the UAE, managing risk across jurisdictions, or just trying to make sure you’re not breaching the rules you can’t find online — we’ve got the right people in your corner.