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What is compliance management?
Regulated and designated firms in the UAE, and the loop that keeps them compliant.
2 min
Know your rules
Who regulates you, and which obligations apply to your business.
2 min
Assess your risk
The business-wide risk assessment, and why risk decides how hard you test.
2 min
Policies and people
Written policies, a compliance officer with real authority, and a board that oversees.
2 min
The monitoring programme
Controls, tests, frequencies and evidence: how a firm checks that it complies.
1 min
When something fails
Findings, fixes, retests, and when to escalate.
2 min
Anti-money laundering, day to day
Customer due diligence, sanctions screening, suspicious transaction reports, and the reports designated firms file.
2 min
Reporting and keeping up with change
Reports to the board and regulator, regulatory change, and starting the loop again.
1 min