Ongoing compliance support

We provide firms with full Compliance and MLRO support services, offering them with the level of support they need. This is available on a monthly retainer basis, fees available on request.

How we can help

Developing & maintaining compliance Manuals, policies, and procedures

We provide guidance and support for the drafting of any new policies required. Our specialists can conduct this on a rolling basis, as and when best practice updates come up or minor amendments need to be made.

We also conduct a formal annual review for all policies.

Financial crime

We regularly conduct due diligence of new clients, including investments as needed, and support in drafting any money laundering and / or financial crime-related reports.

Updates to financial crime risk assessments are available, as well as the ability for our team to carry out AML audits.

Regulatory returns, reports, and prudential support

Our team supports with the modelling of capital and liquidity requirements. We assist with the development of controls and processes for data collection and regulatory reporting.

Assessment and guidance is available on prudential compliance and reporting requirements that apply to your business.

Compliance training

Delivery of training to all staff in person and virtually.

Access can also be granted to our Gateway system for any e-learning, if required. Please note separate fees apply.

Compliance advisory support

We will provide "hands on" advisory support by assisting with any ad hoc compliance and regulatory perimeter questions you may have.

As your business changes, we'll help you understand the regulatory impact and deal with it appropriately.

We also provide guidance and support in the review of marketing materials targeted within and outside of the UAE.

Regulatory developments

Leveraging our RegTech partnership with Grand, we provide monthly insightful regulatory horizon scanning.

Any area of interest can be discussed on a follow up call.

Ad hoc DFSA and FSRA applications

Support on variation of permissions.

Board meetings

Our team offers the provision of annual compliance reports and MLRO reports. These generally depend on the amount of content required.

Compliance committee meetings

We prepare agendas, and update and draft reports. The time allocated will depend on the amount of content required and is based on our regulatory updates.