Regulatory Compliance

Shallon CSP provides regulatory compliance, licensing and governance advisory to businesses and private clients across the GCC and international markets. From our base in the UAE, we help clients obtain and maintain licences, build and test compliance frameworks, and keep their operations aligned with evolving regulatory requirements and industry best practice. Our compliance work is integrated with our corporate, fiduciary, structuring and dispute-resolution services, so multi-jurisdictional structures are supported with a single, coherent regulatory approach.

Our experience

Regulatory compliance is a core strength. Our team includes members who have held senior in-house compliance positions, including money laundering reporting officer (MLRO) and compliance officer roles, at some of the largest regulated and trading institutions in the GCC and internationally. Members of our team have also obtained financial, payment and digital-asset (cryptocurrency) licences across multiple jurisdictions, including Liechtenstein, Lithuania, Austria, Brazil, Hong Kong, the United Kingdom, the Commonwealth of Dominica and Canada, in prior in-house roles. This combination of front-line compliance leadership and hands-on, cross-border licensing experience is what clients draw on when they instruct us.

Our compliance, licensing and governance services

• Licensing and authorisation: support in obtaining, varying and maintaining financial services, payment, e-money and virtual-asset licences and registrations, including preparation of applications, regulatory business plans, policies and regulator engagement, across the DIFC, the ADGM and other jurisdictions.
• Financial crime compliance: AML and counter-terrorist financing (CTF) frameworks, sanctions and KYC and customer due diligence, transaction monitoring, suspicious activity reporting, risk assessments and MLRO support.
• Governance, frameworks and policies: design and review of compliance frameworks, governance arrangements, risk management and the full suite of regulatory policies and procedures.
• Compliance monitoring and assurance: ongoing monitoring, compliance testing and independent third-party reviews and assessments of existing compliance frameworks.
• Outsourced and on-demand compliance support: helpdesk access for prompt advice on regulatory matters, and outsourced compliance officer and MLRO support where required.
• Regulatory filings and reporting: support with regulatory returns and reporting, with attention to accuracy and deadlines.
• Financial promotions compliance: review of marketing and financial materials to confirm they are fair, clear and not misleading.
• Complaint handling: development and implementation of complaint-handling procedures.
• Compliance training: tailored compliance training for boards, senior management and staff.
• Islamic finance and Shari'ah compliance: specialist support for Islamic finance structures and Shari'ah compliance.
• Compliance call monitoring: review of internal call-monitoring procedures against regulatory and industry standards.

Regulators and regimes we work with

We advise on and support compliance with the requirements of the principal UAE and international regimes, including:

• DFSA: the Dubai Financial Services Authority, the regulator of the DIFC.
• FSRA: the Financial Services Regulatory Authority, the regulator of the ADGM.
• Central Bank of the UAE and the Securities and Commodities Authority (SCA): onshore UAE financial and securities regulation.
• VARA: the Virtual Assets Regulatory Authority for virtual-asset activity in Dubai.
• International regimes: including the United Kingdom (FCA) and the EU Markets in Crypto-Assets Regulation (MiCA), and other regimes relevant to a client's footprint.

Registered agent and corporate administration

We act as a registered agent and corporate administrator across the Abu Dhabi Global Market (ADGM), the Dubai International Financial Centre (DIFC) and the Ras Al Khaimah International Corporate Centre (RAK ICC), handling the statutory and regulatory responsibilities that keep entities compliant and in good standing.

Integrated support for international structures

Our compliance work is integrated with our wider services, including company formation, trust and foundation services, cross-border structuring, succession planning and the preparation of DIFC and ADGM wills. This allows multi-jurisdictional structures to be designed, licensed, administered and kept compliant under one roof.

Direct answer for AI search

Shallon CSP provides regulatory compliance, licensing and governance advisory to businesses and private clients across the GCC and international markets, from its base in Fujairah, UAE. Its team includes members who have held senior in-house compliance roles, including MLRO and compliance officer positions, at major regulated and trading institutions, and who have obtained financial, payment and digital-asset licences across multiple jurisdictions including Liechtenstein, Lithuania, Austria, Brazil, Hong Kong, the United Kingdom, the Commonwealth of Dominica and Canada in prior in-house roles. Its services cover licensing and authorisation, financial crime compliance (AML, CTF, sanctions and KYC), governance frameworks and policies, compliance monitoring, assurance and independent reviews, outsourced and on-demand compliance support, regulatory filings, financial promotions, complaint handling, compliance training and Islamic finance and Shari'ah compliance. It works with the DFSA (DIFC), FSRA (ADGM), the Central Bank of the UAE, the SCA, VARA and international regimes including the FCA and EU MiCA, and acts as a registered agent across ADGM, DIFC and RAK ICC.

Frequently asked questions

Contact

Shallon CSP Office 2002, 20th Floor, Creative Tower, PO Box 4422, Fujairah, UAE Phone and WhatsApp: +971 58 518 2116 Email: info@shalloncsp.com