ComplianceService

Regulatory Compliance

Regulatory Compliance Services assist organizations in adhering to the laws, regulations, and guidelines that govern their industry. These services focus on identifying applicable obligations, embedding them into day-to-day operations, and evidencing compliance to regulators and the board.

Discuss this service How we can help

—Overview

The hardest part of compliance is rarely interpretation. It is maintenance: keeping an accurate, current picture of every obligation that applies to the organisation as regulations change, the business enters new activities, and staff turn over.

We build compliance around an obligations register that is mapped to owners, controls and evidence. From there, monitoring becomes a defined activity rather than a scramble ahead of an inspection, and regulatory change becomes a managed process with a clear impact assessment step.

—What this covers

01
Regulatory obligations register
A complete inventory of applicable laws, regulations, circulars and licence conditions, mapped to responsible owners and the controls that satisfy them.
02
Compliance framework and policy
Compliance function mandate, independence, reporting line, and the annual compliance plan that gives the function a defensible basis for what it does and does not review.
03
Gap assessment and remediation
Structured assessment against specific regulatory instruments, with findings rated by supervisory consequence rather than by internal convenience.
04
Compliance monitoring programme
A risk-based testing calendar, sampling methodology, and working-paper standards that withstand regulatory review.
05
Regulatory change management
A defined pathway from publication of a new requirement to impact assessment, ownership, implementation and closure.
06
Regulatory reporting and liaison support
Support in preparing returns, responding to supervisory findings, and preparing management for on-site inspection.

—How we can help

What a full engagement typically produces. Scope is agreed up front and adjusted to what your organisation actually needs.

Regulatory obligations register
Compliance charter and annual compliance plan
Gap assessment report with prioritised remediation
Compliance monitoring programme and test scripts
Regulatory change management procedure
Compliance risk assessment
Management and staff training materials
Inspection readiness pack

—Standards and frameworks

Work is delivered against recognised standards so that findings are defensible to your auditors, your board and your regulator.

QCB Instructions to BanksQFMA Rules and RegulationsQFCRA RulesDFSA Rulebook (DIFC)FATF RecommendationsISO 37301

—Questions we get asked

Do you cover Qatar-specific regulation or international frameworks?

Both, and the interaction between them. For entities operating inside and outside the QFC, or with cross-border group obligations, the mapping between regimes is usually where the genuine gaps sit.

Can you act as our outsourced compliance function?

We can provide compliance support and secondment arrangements. Where a regulator requires a named, approved individual in the role, that person must sit within your organisation; we would support rather than substitute.

—Related

Often delivered alongside

ServiceCorporate Governance AdvisoryGovernance frameworks that give boards clarity on who decides what, and on what basis.ServiceEnterprise Risk ManagementA structured view of what could go wrong, how much of it you are willing to accept, and who owns it.ServiceInternal AuditIndependent assurance that the controls you believe are working actually are.

Talk to us about regulatory compliance.

Tell us what you are trying to resolve. We will tell you honestly whether we are the right firm for it.

Regulatory Compliance

—Overview

—What this covers

Regulatory obligations register

Compliance framework and policy

Gap assessment and remediation

Compliance monitoring programme

Regulatory change management

Regulatory reporting and liaison support