Compliance Advice

Compliance Advice

 

Compliance is an independent control function that provides advice, issues policies, conducts training for the firm, and monitors a firm's activities. Compliance helps to protect a firm by taking steps so that potential regulatory risks and liabilities are identified and addressed appropriately.

 

We provide advice and guidance to clients on any particular regulatory issue or problem.  Some examples include:

 
  • Advice on your firm’s ability to meet the DIFC and DFSA regulatory requirements
  • Whether a particular activity constitutes a regulated activity
  • Duties and responsibilities of Authorised Individuals
  • Business analysis advice or advice on particular issues
  • Guidance on your firm’s policies, procedures, systems and controls
  • Training and competence requirements
  • Advice on regulatory risk assessments, thematic reviews or regulatory visits
  • Advice on the set up of the Compliance function and Compliance culture
  • Annual MLRO report
 
This is not an exhaustive list, but advice provided can be specific to your business or generic in nature.

Other Services

Setting up in the DIFC

HOLT consultancy provides step by step guidance and assistance to applicants wanting to set up in the DIFC including:   Project management of a licence application to perform…read more

Licence Variations

HOLT consultancy can help existing DFSA licence holders with licence upgrades, variations, enhancements and endorsements including:   Varying the scope of licence Upgrading an…read more

Compliance Support

HOLT consultancy provides Compliance Officers and MLROs on an outsourced basis or for temporary cover when there are unexpected staff absences.   Where the DFSA has…read more

Compliance Reviews

Compliance reviews and compliance projects   ​Given our expert knowledge of the local regulatory landscape, we are able to perform compliance-related ad-hoc reviews and/or special…read more

Compliance Remediation

HOLT consultancy can help you to:   Prepare for a DFSA Regulatory Risk Assessment Implement corrective or disciplinary action that may be required following a regulatory risk…read more

Training

We deliver training to firms in relation to compliance, anti-money laundering and countering terrorist financing.   Training sessions are tailored to your business and are designed…read more

Recruitment

If you are looking to expand your compliance function, find a replacement Compliance Officer/MLRO or if you want to find a Compliance Officer with specific experience or skill set,…read more