Many firms have an in-house compliance function but require additional capacity, specialist expertise or independent input.
We work with your team to provide practical, timely support across all areas of compliance designed to keep your firm aligned with regulatory expectations. Our support is tailored to your business model whether you need ongoing assistance or help with a specific requirement.
How we support you
Day‑to‑day compliance support
We cover the practical compliance tasks that keep your firm operating within regulatory expectations. This includes:
- Responding to day‑to‑day compliance queries
- Advising on regulatory interpretation and expectations
- Reviewing new products, services, or business changes
- Supporting client onboarding and due diligence
- Reviewing marketing materials and client communications
- Maintaining compliance registers and documentation
Policy and framework development
We help firms maintain policies and procedures that reflect regulatory requirements and operational realities. We support with:
- Drafting and updating compliance manuals
- Enhancing AML/CTF frameworks
- Reviewing governance arrangements
- Aligning policies with DFSA and FSRA rule changes
- Ensuring documentation is proportionate to your business model
Regulatory engagement support
We help firms prepare for and manage interactions with the DFSA and FSRA. This includes:
- Preparing for DFSA/FSRA meetings
- Supporting responses to regulatory queries
- Advising on thematic reviews and inspections
- Preparing senior management for regulatory discussions
Temporary or transitional support
We provide interim compliance support during periods of change covering staff absences, recruitment gaps, business expansion and new product launches.
How we work
We work as an extension of your team, adapting our support as your needs change, maintaining clear communication and ensuring our advice reflects both regulatory expectations and your business reality.
Our experts
