• NewsNew website🎉Read source
  • Updatewebsite is live🆕Read source
  • NewsMinistry of Economy and Tourism publishes AML, CFT and CPF guidelines for DNFBPs, March 2026Open guidelines
CMA · Capital Markets Authority (formerly SCA)

CMA AML compliance services for capital market firms

The Capital Markets Authority, formerly the Securities and Commodities Authority (SCA), supervises securities and commodities markets and the firms that operate in them. That includes broker-dealers, investment advisers, portfolio and fund managers, custodians, market infrastructure, virtual-asset businesses and commodity businesses.

Discuss your regulatory requirements

Who this covers

Adventant supports CMA-regulated firms with AML governance, customer due diligence, screening, monitoring and reporting, working from the requirements and guidance that apply to your licence rather than a generic template.

Investment and securities firms

Broker-dealersInvestment advisersPortfolio managersFund managersCustodians

Capital-market infrastructure

ExchangesCentral counterpartiesClearing housesCentral depositories

Virtual-asset businesses

VA brokersVA custodiansVA platform operators

Commodity businesses

Commodity brokersCommodity exchangesClearing institutions

Other regulated firms

Credit rating agenciesCrowdfunding operatorsFund administratorsRegistrarsListing and financial advisersRelevant audit firms

Common AML control areas

  • Governance, including a Compliance Officer and MLRO with appropriate authority
  • A risk assessment reflecting your clients, markets, products and channels
  • Customer due diligence for investors and counterparties, including beneficial ownership
  • Sanctions and PEP screening with documented review of matches
  • Monitoring of trading, settlement and payment activity for unusual patterns
  • Suspicious activity reporting and regulatory reporting through goAML
  • Staff training, record-keeping and independent testing

These are common control areas rather than identical rules for every institution. The specific requirements depend on your licence category and the guidance your supervisor has issued.

Relevant services

All 11 Adventant services are available to businesses supervised by the CMA. They are listed in the order that usually matters most for this regulator, and the scope is agreed with your team before work begins.

Operational OutsourcingExtra capacity for screening and monitoring across investors, issuers and counterparties.Enterprise-Wide Risk AssessmentA risk assessment matched to your licence, markets and clients.Governance Support for Your MLROSpecialist support for an in-house Compliance Officer or MLRO.Independent AML Audits / ReviewsIndependent assurance over your AML controls.Regulatory Inspection SupportPreparation for supervisory inspections and surveys, and a documented plan to close any findings.goAML Registration and ReportingRegistration and reporting through goAML, including suspicious transaction and activity reports.AML / CFT / CPF FrameworkPolicies and procedures matched to your licence, markets and the way you deal with investors.AML TrainingTraining for brokers, traders, operations and compliance teams, with records.Outsourced MLRO ServiceA possible route where the rules allow an external appointment, after eligibility and any notification are confirmed.Grievance Filing (Fine Waiver)A clear, evidenced grievance if an administrative penalty is imposed.AML Software (TruDiligent)TruDiligent configured around your onboarding, screening and alert workflow.

Further reading

Frequently asked questions

Which businesses does the CMA supervise for AML?

The CMA supervises firms in the securities and commodities sectors, including brokers, advisers, fund and portfolio managers, custodians, market infrastructure and certain virtual asset and commodity businesses. Confirm the position for your licence.

Can a CMA-licensed firm outsource its Compliance Officer?

Some CMA-regulated firms may be required to keep the Compliance Officer in-house, while particular AML tasks can sometimes be supported externally under conditions. Confirm your position first. Adventant can support an in-house officer.

Is the CMA the same body as the SCA?

The CMA was formerly known as the SCA. We use the current name and confirm the status of specific rules and guidance with you.

Official regulatory resources

This is general information, not legal advice. Requirements change, so check the current guidance with your supervisor.

Other regulators

CBUAEDFSAADGM (FSRA)ADGM (DNFBP)MoETMoJGCGRA