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 assessment

 

Preparing for a Regulatory Risk Assessment

 

Assist the firm in preparing for a DFSA regulatory risk assessment visit to ensure you are well-prepared and know what to expect.

 

We will assist you as follows:

 

  • Help you to prepare and organise required documentation
  • Independently review and provide feedback on available documents
  • Conduct mock interviews and provide constructive feedback

 

After the visit, we can assist in formulating your response to the DFSA’s risk mitigation program and assist in the implementation of any regulatory findings/ observations. 

 

We can also assist firms that find themselves subject to fraud, involved in a regulatory investigation and/or are subject to enforcement action.

 

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 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.…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

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