THINC’s legal team in Dubai guarantees quality solutions by an experienced team of advocates & legal consultants.

Legal Consultancy

Regulatory & Compliance

With a deep working knowledge and understanding of financial regulations across the GCC, THINC can assist in navigating the regulatory landscape in the context of their business and operational requirements.

Registration, Authorization And Filing
Compliance Program Development And Enhancement
Compliance Program Review, Mock Exams And Gap Analysis
Inspection Support Services
Compliance Outsourcing And Support
Training And Awareness

Registration, Authorization and Filing

We help identify the most appropriate regulatory regime for their business needs and help them in simplifying the application and registration process.

 

  • Assist first time, or established regulated entities looking to move into a new line of business, with the entire registration and licensing process under the Dubai International Financial Centre, Abu Dhabi Global Markets, Emirates Securities and Commodities Authority, UAE Central Bank, Qatar Financial Centre, Central Bank of Bahrain, Saudi Arabian Capital Markets Authority, Saudi Arabian Monetary Authority, Kuwait Capital Market Authority and Oman Capital Market Authority regimes
  • Provide on-going Corporate Secretarial and regulatory filing support services

Compliance Program Development and Enhancement

Our team can assist with developing and maintaining your compliance framework to keep pace with evolving regulatory requirements benchmark ed against best in-class industry practice.

  • Compliance Manual and Program
  • AML and KYC/CDD policies and procedures
  • FCPA and anti-bribery risk management
  • Corporate governance
  • Operational procedures
  • Code of Conduct
  • Risk Management
  • Insider and Securities Trading
  • GDPR
  • ESG

Compliance Program Review, Mock Exams and Gap Analysis

Our review services ensure the policies and procedures are up to date and appropriate for your entity.

 

  • Assist with periodic independent testing and gap analysis of compliance programs, governance and control arrangements, as well as policies and procedures to help avoid the cost and reputation risk of future scrutiny and potential regulatory enforcement
  • Develop remedial action plans to address compliance breaches
  • Conduct mock regulatory audits in anticipation of regulatory examinations/audits

Inspection Support Services

We can assist when your legal entity is selected to be examined by the regulators.

 

  • Assist before, during, and after a regulatory examination/audit by reviewing and organizing requested documents, assisting with deficiency letter response writing and more

Compliance Outsourcing and Support

We can support your in-house team with expert outsourced day-to-day compliance tasks.

 

  • Advise on offering of securities regulations across the GCC
  • Draft/review offering materials such as Term Sheets, Offering Memoranda/Private Placement Memoranda and advise on other marketing and promotional initiatives
  • Assist with interpretation of rules and consultation papers
  • Advise and assist on compliance with prudential rules and regulatory reporting requirements
  • KYC/CDD/STR support
  • Securities trading suspicious activity surveillance
  • Electronic communication surveillance for bribery, insider trading, and other financial crimes

Training and Awareness

We provide in-person and virtual compliance training and education.

 

  • Compliance induction for board members and employees
  • Continuous Professional Development (CPD)
  • AML/CTF awareness
  • Functional regulatory requirements awareness
  • Bespoke training
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