Compliance & Regulatory Framework

We maintain the highest standards of regulatory compliance across all jurisdictions where we operate, ensuring trust and transparency in all our operations.

Compliance Areas

Comprehensive compliance across multiple regulatory domains

Financial Services Regulations

Compliance with UAE Central Bank regulations and international financial standards.

  • UAE Central Bank regulations
  • Anti-Money Laundering (AML)
  • Know Your Customer (KYC)
  • Counter-Terrorism Financing (CTF)
  • Basel III compliance
  • IFRS accounting standards

Data Protection & Privacy

Compliance with international data protection laws and privacy regulations.

  • GDPR (General Data Protection Regulation)
  • UAE Data Protection Law
  • CCPA (California Consumer Privacy Act)
  • PIPEDA (Canada)
  • Privacy by Design principles
  • Data minimization requirements

Securities & Investment

Adherence to securities regulations and investment compliance requirements.

  • SEC regulations (where applicable)
  • ESMA guidelines
  • Investment advisor regulations
  • Securities disclosure requirements
  • Insider trading prevention
  • Market manipulation prevention

Corporate Governance

Compliance with corporate governance standards and best practices.

  • Board composition requirements
  • Audit committee standards
  • Risk management frameworks
  • Whistleblower protection
  • Conflict of interest policies
  • Executive compensation guidelines

Certifications & Standards

Industry-recognized certifications and compliance standards

ISO 27001:2013

Information Security Management System

Certified
Issuer:International Organization for Standardization
Valid Until:2026-12-31
Scope:Information security management

SOC 2 Type II

Security, Availability, and Confidentiality

Certified
Issuer:American Institute of CPAs
Valid Until:2025-06-30
Scope:Service organization controls

PCI DSS Level 1

Payment Card Industry Data Security Standard

Compliant
Issuer:PCI Security Standards Council
Valid Until:2025-03-31
Scope:Payment card data security

GDPR Compliance

General Data Protection Regulation

Compliant
Issuer:European Union
Valid Until:Ongoing
Scope:Data protection and privacy

Compliance Process

Our structured approach to maintaining regulatory compliance

1

Risk Assessment

Ongoing

Comprehensive assessment of regulatory risks and compliance requirements.

Responsible: Compliance Team

2

Policy Development

Quarterly

Development and implementation of compliance policies and procedures.

Responsible: Legal & Compliance

3

Training & Awareness

Monthly

Regular training programs for all staff on compliance requirements.

Responsible: HR & Compliance

4

Monitoring & Testing

Daily

Continuous monitoring and testing of compliance controls.

Responsible: Compliance Team

5

Reporting & Documentation

Monthly

Regular reporting to regulators and maintenance of compliance documentation.

Responsible: Compliance Team

6

Audit & Review

Annually

Independent audits and regular reviews of compliance programs.

Responsible: External Auditors

Regulatory Bodies

Key regulatory authorities we work with

UAE Central Bank

United Arab Emirates

Financial services regulation

cb.gov.ae

Dubai Financial Services Authority

Dubai International Financial Centre

Financial services in DIFC

dfsa.ae

Abu Dhabi Global Market

Abu Dhabi

Financial services regulation

adgm.com

Securities and Commodities Authority

UAE

Securities and commodities markets

sca.gov.ae

Compliance Reporting

Transparent reporting and documentation of our compliance efforts

Annual Reports

Comprehensive annual compliance reports available to stakeholders

Real-time Monitoring

Continuous monitoring and real-time compliance status updates

Incident Reporting

Transparent reporting of any compliance incidents or violations

Compliance Questions?

Our compliance team is available to answer any questions about our regulatory framework and compliance procedures.