AFSA (AIFC) — Compliance Manual Skeleton
Structure and drafting outline for an AFSA-regulated firm’s compliance manual: governance (SEO/CO/MLRO), client onboarding, AML/CFT & sanctions, client assets, conduct, prudential, outsourcing, resilience, incidents, reporting and monitoring.
Contents (short)
- Firm & permissions — authorised activities, conditions.
- Governance — roles, independence, committees.
- Regulatory map — GEN, COB, PRU, market conduct, AML, DP.
- Policies — conflicts, PAD, client agreements, disclosures.
- Client assets — segregation, reconciliations, custody.
- AML/CFT & sanctions — risk assessment, scoring, monitoring, STR/SAR.
- Outsourcing — DD, SLAs, oversight, exit.
- Operational resilience — BCP/DR, IT controls, data protection.
- Incidents & notifications — breach register, AFSA notices.
- Reporting & registers — calendar, mandatory logs.
- Training & competence — fit & proper, refreshers.
- Compliance Monitoring Plan — risk-based reviews and findings tracking.
Download & next steps
Download the skeleton and map each policy/procedure to your Authorisation, license conditions and latest AFSA rulebooks. We can customise the manual and prepare application packs.