UAE Compliance Advisory and Support

Enhance regulatory readiness and resilience with ACA Effecta’s solutions for the Middle East.

Understanding the complexities of the UAE’s regulatory environment can be challenging, with unique requirements and obstacles to address. Is your firm equipped to meet these standards and stay compliant in a rapidly changing landscape?

Our specialists can help you simplify the process, from choosing the right location to securing regulatory licenses and ongoing compliance support.

Ready to set strong foundations and build a robust compliance framework in the UAE?
Contact us today to learn how we can support your business’s success, including in the Dubai International Financial Centre (DIFC), Abu Dhabi Global Market (ADGM), and other financial free zones.

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UAE compliance made simple

By leveraging a deep understanding of the regulatory environment in both the DIFC and ADGM, we help ensure that your business operates efficiently and in compliance with local regulatory framework.

Our ACA Effecta services include:

Authorization

Navigate the regulatory licensing process in the DIFC and ADGM with guidance that ensures all documentation and procedures align with local regulatory standards.

Compliance outsourcing

Engage experienced consultants who serve as Compliance Officer and Money Laundering Reporting Officers to maintain continuous regulatory compliance.

Regulatory advisory

Access tailored advice to understand and meet the specific regulatory requirements of the Dubai Financial Services Authority (DFSA) in the DIFC and the Financial Services Regulatory Authority (FSRA) in the ADGM with confidence.

Compliance monitoring

Design, refine, and sustain compliance monitoring programs that proactively address potential risks before they become breaches.

Policies and procedures

Develop tailored frameworks that integrate seamlessly with your operations, supporting both internal and external compliance needs.

Regulatory training

Access expert-led training on compliance essentials, AML, cybersecurity, and operational resilience, tailored to DFSA and FSRA requirements.

Regulatory inspections

Prepare for DFSA and FSRA inspections with expert-led assessments that help identify compliance gaps, strengthen controls, and ensure regulatory readiness.

Mock Regulatory Reviews

Prepare for DFSA and FSRA examinations with our mock regulatory reviews. Our experts simulate real inspections to identify compliance gaps, benchmark your frameworks, and mitigate regulatory risks, ensuring your firm is always ready.

Not sure which solution you need?

Simply book a call with one of our specialists. They will guide you through the options available and help you build a plan perfect for your needs.

Why ACA Effecta?

With ACA Effecta, you get expert-led support tailored to the UAE’s unique regulatory landscape. We help you choose the right jurisdiction, develop a fit-for-purpose compliance strategy, and streamline your regulatory setup in the DIFC and ADGM.

As a trusted partner, we go beyond setup—offering practical, responsive compliance solutions that evolve with your business. Our team delivers deep regulatory insight and ongoing support, helping you stay aligned, resilient, and ready to grow.

We work with firms across the financial sector, including asset managers, brokers, exchanges, and fintechs—whether entering the market or enhancing existing operations.

We’re excited to partner with your team

Turn to ACA Effecta for:

Targeted compliance expertise

Get actionable insights aligned with DFSA and FSRA rules. We embed compliance into your operations to help keep your business resilient and compliant.

Enhanced regulatory readiness

Build a strong compliance foundation from day one. Our solutions help you meet regulatory demands and support long-term growth.

Strategic compliance optimization

Access ongoing monitoring and tailored support to boost efficiency and stay ahead of evolving compliance demands in the UAE.

Discover your compliance edge in the UAE

Set your business up for success with ACA Effecta’s unmatched expertise in UAE compliance. Whether you’re establishing a new presence, strengthening existing operations, or seeking to protect your business, our tailored solutions ensure you stay compliant, resilient, and ready to grow in a competitive market.

Ready to strengthen your compliance edge?

FAQs

UAE Compliance Advisory and Support

The UAE has a multi-jurisdictional regulatory framework for financial services, with oversight divided between federal and financial free zone authorities. The main regulators include:

  • Central Bank of the UAE (CBUAE): Regulates and supervises banks, finance companies, exchange houses, and payment service providers across the UAE (excluding financial free zones like DIFC and ADGM). It also oversees certain virtual asset activities such as payment token services.
  • Dubai Financial Services Authority (DFSA): Regulates businesses in the Dubai International Financial Centre (DIFC).
  • Financial Services Regulatory Authority (FSRA): Oversees financial services in the Abu Dhabi Global Market (ADGM).
  • Securities and Commodities Authority (SCA):Supervises securities, commodities markets, and virtual asset activities outside the financial free zones. It works in coordination with other regulators to ensure a unified national framework.
  • Virtual Assets Regulatory Authority (VARA):Regulates virtual asset activities in the Emirate of Dubai (excluding DIFC), including issuance, trading, and custody of digital assets.

Penalties may include substantial fines, license suspension or revocation, legal action, and reputational damage. Compliance ensures firms operate legally, maintain transparency, prevent financial crime, and build trust with regulators, clients, and stakeholders.

The UAE adheres to global standards such as:

  • FATF (Financial Action Task Force) guidelines
  • OECD CRS (Common Reporting Standard)
  • FATCA (Foreign Account Tax Compliance Act)
  • GIPS (Global Investment Performance Standards), where applicable

ACA Effecta is our UAE-based compliance advisory brand, following the acquisition of Effecta Compliance Group in 2024. This enhances our local expertise and service delivery in the region.

We have offices in:

  • DIFC, Dubai
  • ADGM, Abu Dhabi

This allows us to serve clients in these key financial hubs. See here for our office details (scroll to our locations and select Asia).

Our team continuously monitors regulatory developments and engages with local authorities to provide timely, accurate compliance guidance.

Yes. ACA supports firms establishing operations in the DIFC and ADGM by providing end-to-end compliance setup services, including:

  • Regulatory license applications with the DFSA and FSRA
  • Design and implementation of compliance frameworks tailored to local regulations
  • Staff training and onboarding on local and international compliance standards
  • Outsourced compliance roles, including Compliance Officer (CCO) and Money Laundering Reporting Officer (MLRO), to help firms meet regulatory requirements from day one

Our outsourced model ensures firms have immediate access to experienced professionals while building internal capabilities over time.

Yes. We provide cybersecurity solutions including:

  • Cyber risk assessments
  • Third-party risk management and vendor due diligence
  • Penetration testing
  • Incident response planning
  • Regulatory cyber compliance support
  • Staff training

These services help firms meet regulatory cyber risk expectations within the region.

ComplianceAlpha is ACA’s award-winning RegTech platform that helps automate and streamline compliance processes. In the UAE, it supports:

  • Employee compliance and personal trading
  • Trade surveillance
  • EComms surveillance and Enterprise Archiving
  • Risk monitoring
  • Regulatory reporting

We work with a wide range of financial institutions, including:

  • Asset managers
  • Investment banks
  • Broker-dealers
  • Corporate finance firms
  • Exchanges and fintech firms

Simply fill out the form here, and someone from our team will reach out shortly.

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