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 financial services activities in or from the DIFC. We will liaise with the DFSA, DIFC Authority, DIFC Registrar of Companies and other advisors as required.  
  • Assisting with the drafting of a Regulatory Business Plan.
  • Assisting with the drafting and completion of applicable forms for example, AUT IND 1 forms. 
  • Drafting of a tailored Compliance Manual and Anti-Money Laundering Manual. 
  • Development of a Risk Based Compliance Monitoring Programme tailored to your firm's needs and business model.
  • Preparing the proposed Authorised Individuals, e.g. Senior Executive Officer (SEO) for the DFSA interview.
  • Documenting and helping you to implement systems and controls to meet the regulator’s requirements according to your risk appetite.

 

For help with a Licence Variation please click here.

 


 

Other Services

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

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