Regulatory Compliance Audit

Regulatory Compliance Audit

A Regulatory Compliance Audit is an independent review of a company’s operations, processes, and records to ensure adherence to applicable laws, regulations, and industry standards in the UAE. This audit helps organizations identify compliance gaps and mitigate legal or regulatory risks.

Key Points:

Examines internal policies, procedures, and operational practices for regulatory adherence.

Reviews documentation, reporting, and compliance with UAE laws, free zone rules, and industry standards.

Identifies non-compliance risks and areas needing corrective action.

Provides recommendations to strengthen governance and ensure legal conformity.

Purpose:

The audit helps businesses maintain regulatory compliance, reduce risks of fines or penalties, and demonstrate transparency to stakeholders, authorities, and investors.