Compliance & Regulatory  

Capital Advantage is one of the key compliance and regulatory affairs industry players in the Middle East since 2004. The Firm provides its bespoke compliance services to both financial and non-financial businesses. 

 

Capital Advantage designs and implements a range of compliance tools that help companies navigate the complex regulatory framework across different jurisdictions. 

Compliance & Regulatory Services: 

Financial & Insurance:

  • Authorisation & Incorporation

  • Outsourced Officers:

    • Compliance Officers

    • Money Laundering Reporting Officer

    • Finance Officers

    • Risk Officers

  • Compliance & AML Manuals & Policies

  • Sanctions 

  • Client Due Diligence

  • Regulatory Reporting:

    • Prudential & Financial 

    • IRAP & ICAAP 

    • Periodic Reporting

  • Annual & Periodic Reviews

  • Training & Mentoring

 

Non-Financial:

  • Compliance Advisory

  • Regulatory Gap Analysis

  • Anti-Bribery & Anti-Corruption (inc. FCPA/BA)

    • Policies

    • Risk Assessment

    • Due Diligence

    • Regulatory Management

    • Remediation & Resolution

  • Financial Crime Prevention

  • Enterprise Risk Assessment

  • Codes of Conduct & Ethics

  • Training & Mentoring 

"Utilizing a multi-functional approach towards clients’ compliance needs to achieve a balance between internal operational demands and external regulatory requirements."
DIFC Directors Duties & Responsibilities

A summary of the key duties and responsibility of Directors under the DIFC Companies Law, Data Protection Law and Insolvency Law.

E-Signatures in the DIFC 

A summary of the use of various e-signature options in the DIFC for client and other documents.

© 2018 Capital Advantage. 

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