Regulatory authorisation and initial support

From the initial concept, engaging in conversations with regulatory bodies to preparing and finalising the formal application forms. Our team can support your at every step of the process as you look to set up a presence in the DIFC and ADGM.

How we can help

Authorisation support

We offer a direct link with the regulator, including attendance at meetings and the coordination of responses made by your firm. Our team is able to prepare a full set of application and compliance documentation to satisfy regulatory requirements. These would be customised and aligned to the your proposed business model.

We also regularly draft and support on Regulatory Business Plans (RBPs).

Our team provides guidance and support on financial forecast preparation and prudential matters. Where required, our specialists can prepare you for interviews where required for authorised individuals and / or control function holders.

Initial support

Our initial support package includes:

• an initial compliance risk assessment
• the design of your Compliance Manual and AML Framework, including relevant compliance and AML procedures
• a compliance monitoring plan
• a regulatory reporting calendar
• the delivery of compliance and AML training.