Obtaining authorisation in the DIFC or ADGM requires careful planning, detailed documentation and a clear understanding of regulatory expectations. We guide firms through the full authorisation process, from early-stage planning through to operational readiness.
How we help you
Early‑stage planning
We help you define your regulatory strategy and determine the appropriate permissions. This includes:
- Assessing your proposed business model
- Identifying required regulatory permissions
- Advising on prudential and capital requirements
- Outlining the authorisation process and timelines
Preparing the application pack
We prepare the documentation required for your application ensuring it is aligned with regulatory expectations. We assist with:
- Drafting or refining the regulatory business plan
- Preparing financial projections and prudential assessments
- Developing compliance and AML frameworks
- Drafting governance and organisational structure documents
- Preparing policies, procedures, and manuals
Regulator engagement
We manage communication with the DFSA or FSRA throughout the authorisation process. This includes:
- Submitting the application
- Responding to regulator queries
- Supporting meetings and discussions
- Advising on areas of focus or concern
Authorised individual preparation
Individuals applying for controlled/licensed functions are expected to demonstrate a clear understanding of their responsibilities and the regulatory framework in which they operate. We provide interview preparation, role‑specific training and practical guidance to meet that standard.
Operational readiness
We help ensure your firm is ready to operate as soon as you are authorised. Our 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
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