Back to Compliance & Regulatory Compliance & Regulatory

Compliance Documentation Review in the UAE

Regulators and counterparties often judge compliance by what a business can show on paper: policies, registers, training records and decisions. A compliance documentation review tests whether those records are complete, consistent and used.

It is a document-based exercise and does not certify that a business complies with the law.

What is reviewed

Policies and procedures, such as anti-bribery, conflicts, AML and data protection
Registers, such as shareholders, beneficial owners and conflicts
Training logs and attestations
Board and management approvals
Incident and complaint records

Does the policy match practice?

A well-written policy that does not match daily practice is a risk. The review looks for gaps and for steps that are required but not documented.

Evidence of implementation

Examples include screenshots of system settings, signed acknowledgements, meeting minutes and audit trails. Without evidence, it is hard to demonstrate compliance.

Version control and ownership

Every document should have an owner, a date and a review cycle. Outdated templates and conflicting versions create confusion.

Alignment with sector expectations

Where a regulator has issued guidance, documents should be checked against it. Where no guidance exists, a risk-based approach is used.

Output

A review typically produces a summary of gaps, priorities and suggested fixes, and a document list for follow-up.

How a consultation can help

A consultation can structure the review and identify gaps. See also corporate compliance overview. Your Legal Key is not a regulator and cannot guarantee regulatory outcomes.

Frequently asked questions

How often should policies be reviewed?

At least annually and when laws, business activities or risks change.

Do I need to translate policies into Arabic?

Depends on the regulator and audience. Check requirements.

Can templates be used?

As a starting point, but they should be adapted to the business.

Related guides and services

General information only. Please read our Legal Disclaimer.