Criteria register
The agreed requirements, applicability basis, responsible teams and evidence expected.
Requirement → evidence → response
Compliance Audit Services in Dubai
Know what applies—and show how it is met.
Dubai & UAE · Defined scope · Evidence-led reporting
A CLEAR STARTING POINT
What this service does.
A compliance audit tests selected activities against an agreed set of requirements. A&A helps build an obligations register, examine supporting evidence and prioritise gaps so management can address them through a clear action plan.
The first question is which requirements apply to the entity, activity and period. A general checklist cannot establish compliance with every UAE law, regulator, licence condition and contract.
This is a scoped compliance review, not a legal opinion or a guarantee of regulatory approval. An authority may reach its own conclusions or request additional evidence.
DEFINE THE OUTPUT BEFORE THE WORK
What your engagement can include.
These outputs form a starting point for the proposal. The signed scope confirms coverage, reporting format, responsibilities and exclusions.
Exception matrix
Each finding linked to a specific criterion and the evidence reviewed, including coverage limitations.
Remediation plan
Actions, escalation priorities and follow-up evidence for management to approve.
MAKE THE DISTINCTION
Different reviews answer different questions
| Review | Criteria | Important boundary |
|---|---|---|
| Policy compliance | Approved internal rules | Does not cover every external obligation |
| Contract compliance | Specific contract terms | Legal interpretation may need counsel |
| Regulatory readiness | Identified applicable requirements | Does not replace an authority inspection |
FROM BRIEF TO HANDOVER
How the work moves forward.
- 01
Define the criteria
Identify the authority, contract or policy, relevant version and period being reviewed.
- 02
Map the obligations
Assign owners and locate the records expected to demonstrate fulfilment.
- 03
Test the evidence
Assess selected records against the criteria and distinguish missing evidence from confirmed non-compliance.
- 04
Agree next steps
Validate findings, prioritise corrective work and identify matters needing specialist legal or regulatory advice.
ILLUSTRATIVE SCENARIO · NOT A CLIENT CASE STUDY
A licence obligation has no assigned owner
- The situation
- A business retains renewal documents but cannot show who tracks ongoing conditions.
- The approach
- Create a requirement-to-owner map and test the relevant evidence for the agreed period.
- The useful outcome
- Management gets a specific gap and corrective action, rather than a blanket claim that the business is compliant.
PREPARE ONCE. AVOID REPEATED REQUESTS.
What to have ready.
The final request list depends on the period, systems and agreed scope. Keep original records and identify the person responsible for explaining each data source.
- 01Relevant licences, contracts and requirement notices
- 02Obligations register and approved policies
- 03Filing acknowledgements, approvals and supporting evidence
- 04Prior findings, regulator correspondence and action logs
SCOPE, TIMING & RESPONSIBILITY
No surprises at the handover.
Before work begins, agree the recipient, review period, access arrangements and reporting purpose. Fees depend on the complexity and completeness of the records, not simply the name of the service.
A&A’s agreed work
Plan the assignment, document the evidence reviewed, communicate gaps and deliver the outputs in the engagement letter.
Your management team
Provide complete authorised records, explain the business context, approve accounting or operational decisions and own corrective actions.
Specialists and independent sign-off
Where the brief requires a statutory opinion, regulated certification, legal advice or specialist evidence work, confirm the appropriately qualified provider and separate responsibilities before proceeding.
BEFORE YOU COMMISSION THE WORK
Questions worth asking.
Does this cover every UAE regulation?
No. The engagement lists the applicable criteria and exclusions. Sector-specific requirements and legal interpretation may require additional specialists.
Is this the same as a VAT compliance audit?
No. VAT review focuses on tax-specific records and treatment. This service can address other agreed requirements; VAT work should be expressly included or separately scoped.
What if evidence is missing but the activity was completed?
Record the evidence gap and seek reliable corroboration. Missing documentation should not automatically be described as proof that the activity never occurred.
Can you guarantee there will be no fines?
No. Findings support corrective action, but penalties and regulatory outcomes depend on the facts and the relevant authority.
What determines the fee and delivery time?
The number of entities, locations, systems, transactions and reporting requirements all affect the scope. We agree a proposal after reviewing the brief and record readiness. A fixed delivery promise cannot be made before that assessment.
How do we begin without sharing confidential records?
Send a high-level description of the requirement, entity type and deadline. Do not include passwords, identity documents or sensitive evidence in the enquiry form. We agree an authorised, secure exchange method before detailed records are shared.
Sources and professional scope
Reference links checked on 14 September 2026. These explain relevant professional frameworks or requirements; they do not establish A&A’s accreditation or certify an engagement’s conformance.
Confirm current requirements for your entity, jurisdiction and intended recipient. This page is a service overview, not a legal opinion or assurance report.
A&A TAX CONSULTANTS · DUBAI & UAE
Start with the question you need answered.
Tell us the service, entity type, reporting period and deadline. We’ll help define the next step and the information needed.
Pricing links open our general packages. Audit-specific fees require an agreed proposal.