Services ｜ Compliance Advisory ｜Hedge Funds
OUR EXPERTISE
Securing Your Edge: Strategic Compliance Solutions for Hedge Funds in the UAE
We partner with hedge fund managers to develop and sustain their compliance programs, aligned with the Financial Services Regulatory Authority (FSRA) and Dubai Financial Services Authority (DFSA) regulations. Our clientele spans a wide spectrum of investment strategies, including equity, bond, macro, and commodities, with business models ranging from fundamental/bottom-up and ESG-focused to quantitative and high-frequency trading. We guide new startups through the authorization process required by FSRA and DFSA, integrating compliance seamlessly into their business operations. Our support extends to daily compliance management, enabling firms to seize commercial opportunities while navigating regulatory hurdles. We offer both secondment and advisory services to meet diverse needs.
Our team comprises experts with backgrounds as former FSRA and DFSA regulators, in-house Compliance Officers/MLROs, and seasoned compliance consultants. With extensive experience in decoding regulatory obligations, they are well-versed in the primary regulatory risks hedge funds face, such as governance, conflicts of interest, business conduct, market abuse, and regulatory disclosures. We assist hedge funds in managing the complexities of current and forthcoming regulations, including those specific to the FSRA and DFSA frameworks.
Acting as the proactive lookout for our clients, we keep them informed of regulatory developments and initiatives emerging from the UAE’s regulatory environment, ensuring they are well-prepared to adapt to changes and uphold compliance standards.
Authorisations and application services
We support firms with a full suite of FSRA/DFSA authorisation and application services.
Variation of Permission
If you are an authorized entity seeking to amend your regulated activities, launch a new business line, or incorporate new product/client segments into your operations, we are well-equipped to assist you with your variation of permission (VOP) application.
With expertise in financial sector applications, we ensure compliance with regulations and assist clients in preparing thorough authorization submissions.
Change in Control
Should you intend to acquire or enhance control over a regulated entity, it is imperative to promptly inform the Financial Services Regulatory Authority (FSRA) of a Change in Control (CiC) and secure approval prior to taking any further action.
DFSA Authorisation
Our consultancy services are tailored to meet the changing regulatory landscape, addressing client-specific issues, providing project support, and navigating new regulations' impact on business operations.
Wind-down planning
Regulators have underlined the need for all regulated firms to grasp their wind-down procedures thoroughly. Our experience with various firms has provided us with a deep understanding of the expectations set by the Financial Services Regulatory Authority (FSRA).
FSC Authorisation
Financial institutions need to maintain sufficient capital, conduct stress tests, and establish wind-down strategies to meet regulatory requirements. Our Prudential Team is here to assist you in navigating these rules and avoiding regulatory scrutiny.
Ongoing compliance support and regulatory projects
Consumer Duty
An extensive array of service options to assist all organizations in the implementation of the new Consumer Duty framework.
Compliance Healthcheck
Our Compliance Healthcheck provides assurance and peace of mind that your organization has established appropriate compliance protocols.
DFSA Authorisation
Our consultancy services are tailored to meet the changing regulatory landscape, addressing client-specific issues, providing project support, and navigating new regulations' impact on business operations.
Wind-down planning
Regulators have underlined the need for all regulated firms to grasp their wind-down procedures thoroughly. Our experience with various firms has provided us with a deep understanding of the expectations set by the Financial Services Regulatory Authority (FSRA).
Secondments
Highly skilled compliance professionals ready to support short and long-term resource requirements.
With expertise in financial sector applications, we ensure compliance with regulations and assist clients in preparing thorough authorization submissions.