Governance, Risk & Compliance for UAE Regulated Firms
Providing Compliance
Excellence
Successful FCA, EU and
UAE Authorisations
Active Firms Receiving
Regulatory Support
FCA/PRA Skilled
Person
&
Consultancy Panel
With over 25 years of regulatory and compliance experience, Complyport supports regulated firms with specialist expertise in authorisations, compliance advisory, risk management, internal audit, AML/CFT and regulatory readiness.
Whether you are seeking regulatory authorisation, strengthening your governance and control environment, managing ongoing compliance and risk obligations or seeking independent assurance, our specialists provide practical support tailored to your business model, regulatory permissions and obligations.
Whether you are entering the UAE market, expanding your regulated activities or managing ongoing regulatory obligations, maintaining effective governance, compliance, risk management and control arrangements is critical.
Complyport supports financial services firms at different stages of their regulatory journey, from authorisation and licensing through to ongoing compliance, risk management, AML/CFT, independent assurance and remediation.
Our specialists provide practical, risk-based support tailored to your regulatory permissions, business model and regulatory requirements.
Navigate UAE regulatory authorisation and licensing requirements with specialist support from initial assessment through to application and regulatory engagement.
Gain an independent view of the effectiveness of your governance, risk management and internal control environment.
Strengthen your risk management framework and support the effective identification, assessment, monitoring and management of regulatory and business risks.
Strengthen your compliance framework and support your ongoing regulatory obligations.
Assess and strengthen your firm's financial crime framework.
Prepare for regulatory engagement and address identified weaknesses effectively.
Our approach: Assess → Strengthen → Implement → Test → Remediate → Support
Identify regulatory, compliance, risk and control gaps.
Enhance frameworks, policies and controls.
Embed requirements into day-to-day operations.
Independently assess control effectiveness.
Address findings and track actions to closure.
Provide ongoing regulatory, compliance and risk expertise.
DIFC-Regulated Firms
Authorisation, compliance, risk management, internal audit, AML/CFT and regulatory advisory support aligned with your firm’s DFSA-regulated activities and obligations.
ADGM-Regulated Firms
Practical support across authorisation, compliance, governance, risk management, AML/CFT and independent assurance for firms operating within the Abu Dhabi Global Market (ADGM).
CBUAE-Licensed Financial Institutions
Regulatory support across authorisation and licensing, compliance, risk management, AML/CFT, governance and independent assurance, tailored to your firm’s activities and applicable CBUAE requirements.
Virtual Asset Service Providers
Capital Markets Firms
Authorisation, compliance , risk management and assurance support tailored to your firm’s activities, licence, risk profile and applicable capital markets requirements.
Support is tailored to your licence, regulated activities, business model and applicable regulatory requirements.
Specialist support may be particularly valuable when your firm is:
Whether you are seeking authorisation, strengthening your compliance or risk framework, require independent assurance or need support addressing specific regulatory requirements, speak to our specialists about your firm's priorities and next steps.
With over 25 years of experience in the financial services industry, Complyport offers extensive regulatory and compliance expertise to help firms navigate evolving requirements and strengthen their regulatory frameworks.
From compliance advisory and AML/CFT to internal audit, risk management and regulatory reporting, Complyport provides a broad range of services designed to support firms across their regulatory obligations.
Our solutions are tailored to your business model, regulatory permissions, risk profile and specific requirements, providing practical support aligned with the needs of your organisation.
We take the time to understand your business, regulatory environment and priorities, delivering practical and effective support designed around your organisation.
Our team of seasoned professionals, including former regulators and industry experts, brings deep regulatory knowledge and practical experience to each engagement.
Through our wider technology and RegTech capabilities, we help firms enhance compliance processes, improve efficiency and support more effective regulatory risk management.
The appropriate regulatory authority and licensing framework depend on factors including your proposed activities, business model, target clients and where you intend to operate. Depending on the nature of the business, firms may fall within the regulatory frameworks of the DFSA, FSRA, CBUAE, VARA or CMA. Complyport can help assess the regulatory perimeter and determine the appropriate authorisation route.
Authorisation timelines vary depending on the regulator, licence category, proposed activities, complexity of the business model and the completeness of the application. Regulatory queries, governance arrangements, key appointments and the firm’s readiness can also affect the process. Complyport can support firms from initial scoping and application preparation through to regulatory engagement and post-authorisation implementation.
Requirements vary by regulator and regulated activity but can include an appropriate legal and governance structure, regulatory business plan, adequate financial resources, suitably qualified senior management and control functions, compliance and AML/CFT arrangements, risk management frameworks and supporting policies and procedures. The precise requirements should be assessed against the relevant regulatory framework.
Depending on the applicable regulatory framework, nature of the function and the firm’s circumstances, certain compliance, risk or internal audit activities may be outsourced or co-sourced. Firms remain responsible for meeting their regulatory obligations, so the appropriate model should be assessed against the relevant regulator’s requirements and the firm’s governance arrangements.
Preparation should include assessing whether governance arrangements, policies, compliance monitoring, AML/CFT controls, risk management, regulatory reporting and internal controls are operating effectively in practice. An independent readiness or gap assessment can help identify weaknesses, prioritise remediation and prepare relevant documentation and evidence before regulatory engagement.
Following regulatory findings, firms should assess the issues identified, prioritise required actions and establish a structured remediation plan. Complyport can support firms in assessing findings, strengthening relevant policies and controls, implementing remediation measures and conducting follow-up testing.
Looking for Compliance Support?
First time getting in touch?
Whether you are applying for regulatory authorisation in the UK, EU, UAE or another jurisdiction, responding to new requirements, or in need of ongoing compliance support, our team is here to help.
Complete the form on the right, and we’ll get back to you shortly.
Looking for Compliance Support?
First time getting in touch?
Whether you’re applying for regulatory authorisation in the UK, EU, UAE or another jurisdiction, responding to new requirements, or in need of ongoing compliance support — our team is here to help.
Complete the form on the right, and we’ll get back to you shortly.
