Regulatory & Compliance

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REGULATORY AND COMPLIANCE SERVICES

Ethical and compliant businesses with a well-controlled environment can better mitigate the risk of legal or regulatory sanctions and ensuing material financial and reputational loss.

Regulatory requirements for compliance assurance, policies, AML framework and talent have increased the need for maintaining an adequate compliance infrastructure for most organizations.

AT RE/THINK WE OFFER TAILORED REGULATORY EXPERTISE AND FOCUS IN GUIDING CLIENTS IN REDUCING THE RISK OF NON-COMPLIANCE.

We provide a wide range of compliance services and regulatory advice. While we focus on compliance consultancy services in Dubai and Abu Dhabi including advisory, training and process improvement, we don’t just tell you what to do, we give you practical ways to make things work for your business.

We offer bespoke modeling designed specifically to guide clients in reducing the risk of non-compliance.

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OUR APPROACH

Demonstrates a degree of independence from the business, required by regulators;
Places significant importance on ensuring that our clients fully understand their options;
Utilizes progressive professional relationships with the financial services regulators in the GCC, UAE and Cayman Islands necessary in providing end-to-end assistance in preparing your regulatory business plan;
Ensure business control environment is clearly explained throughout the application process and builds confidence in balancing clients’ and regulatory expectations

Please make an enquiry to find out more and speak to a senior member of our team.

WINNERS OF THE WEALTH BRIEFINGS AWARDS 2020 & 2021

Re/think were the winners of the Wealth Briefings Awards 2020 & 2021 for compliance for the GCC region, which demonstrates the skills and expertise we have inhouse for such a service.

Our team has a combined level of experience exceeding 25 years in the financial services sector along with legal and management consulting across Middle East, Europe, Africa, London, India and Cayman Islands.

Regulatory & Compliance Authorization Services

Authorization services in ADGM and DIFC. Our team of senior compliance professionals can advise on your options before opening operations in the UAE, and lead you through all aspects of your regulatory authorization application and business plan.

Outsourced Compliance Officer & MLRO

Outsourcing your Compliance & MLRO function is both cost effective and reduces risks for the your leadership team. An independent role that will be the team expert for all FSRA and DFSA supervision requirements. We have a number of qualified professionals that can fit your business model and company culture.

Outsourced Risk Officer

Outsourcing the Risk Officer role offers a strategic solution, providing access to seasoned risk management professionals without the burden of full-time recruitment, training, and management. Our approach to outsourcing the Risk Officer function is rooted in a deep understanding of both the regulatory environment and the unique needs of each client.

Independent Non-Executive Director Services

An Independent Director is becoming more and more critical, and often becoming a requirement of the DFSA and FSRA. We provide Senior Director level profiles with compliance and or legal backgrounds essential for the added value of these positions.

Training

Having a good compliance training program ensures employees are trained to understand the expectations, standards and obligations toward internal and external stakeholders.

Internal & AML Audit

Tied into our risk management, is the ability to perform internal audits which is effectively a risk assessment to identify and prioritize key risks to best allocate internal resources and mitigate loss or damage.

Data Protection Officer

In the era of globalization and digitalization where a lot of data have become readily available and transferred across borders, the protection of data has become significantly important. We are experts in This Data Protection in ADGM, DIFC and the UAE.

Corporate Secretarial Services

Corporate Services focuses on specialized business support to ensure accuracy, timeliness, and efficiency in managing corporate actions and meeting regulatory annual reporting, business licensing and service processes. This is an essential component for companies based in UAE to comply with the commercial laws of the region.

Health Checks

There are moments in the authorized firm’s life where it is important to take stock and understand whether its compliance function and culture are aligned with regulatory requirements and/or best practices…