Compliance Services for Financial Institutions
We provide extensive consultancy and support services to adhere to banking compliance including DIFC / ADGM compliance.
We provide advice and guidance to clients on any particular regulatory issue or problem faced in the UAE. We provide advisory on whether the firm can improve its compliance processes, whether there are any significant breaches to be reported, resolving breaches, regulatory risk assessments etc.
We also provide advice in documenting any particular transaction reports and AML related reviews. Further, we can advise on the relevance of various policies and procedures. We can design AML manuals and risk rating for the various companies.
We can also assist firms that find themselves subject to fraud, involved in a regulatory investigation and/or subject to enforcement action.
We provide outsourced compliance services across various regulators. Outsourcing can have an advantage where the level of compliance activity does not warrant a full time permanent employee in the organization. We provide support in MLRO / Compliance officer functions.
Compliance / Risk monitoring Program:
We help businesses drive a comprehensive compliance and risk management program. Program encompasses a range of policies and covers the risk management aspects over a frequency that is adequate to identify and mitigate the risks.
We provide independent compliance review, regulatory business plan and company secretary services.