AML INSPECTION SUPPORT
Strategic Preparation. Real-Time Support .
Full Compliance Confidence
Strategic Preparation. Real-Time Support. Full Compliance Confidence
In the UAE, regulators such as the Ministry of Economy (MoE), Central Bank (CBUAE), SCA, DFSA, FSRA, and VARA conduct AML/CFT/CPF inspections to ensure businesses are not only compliant on paper but also in practice.
These reviews are rigorous, covering everything from policy design and client onboarding files to suspicious transaction reporting and MLRO competence.
At AKW Consultants, we prepare you before the inspection notice arrives, stand by your side during regulator reviews, and help you remediate findings afterwards. With us, your AML framework becomes inspection-proof, regulator-ready, and confidence-building.
The Top Five Pitfalls During AML Inspections
01
Generic AML Policies
One-size-fits-all manuals that fail to reflect your actual business model or the UAE’s latest regulations.
02
KYC Documentation Gaps
Missing onboarding files, outdated CDD checks, or incomplete UBO/PEP records.
03
Unprepared MLRO
Weak regulator-facing responses that erode confidence, even if documents exist.
04
Weak Monitoring Controls
Inadequate risk ratings, limited sanctions screening, and missed red flags.
05
Opaque Ownership or Funding Sources
Failure to prove the source of funds or verify beneficial ownership.
How AKW Supports Your AML Inspection
Pre-Inspection Readiness
- Mock inspections based on MoE, CBUAE, DFSA, FSRA, and VARA formats
- Review of internal risk assessments against the 2025 UAE National Risk Assessment (NRA)
- Testing of KYC files, STR submissions, goAML records, and TFS documentation
Policy & Framework Enhancement
- Draft or update AML/CFT/CPF manuals tailored to your operations
- Policies covering CDD, EDD, sanctions screening, STR escalation, and audit trails
- Sector-specific alignment with NRA-identified typologies
Client File Review & Risk Alignment
- Comprehensive audits of KYC, UBO verification, and PEP management
- Validation of sanctions checks and transaction monitoring
- Risk classification aligned with actual client profiles
MLRO Training & Inspection Day Support
- Mock regulator Q&A and simulation drills
- Coaching MLROs and senior staff to confidently explain systems and decisions
- Real-time advisory support during onsite or remote inspections
- Note: Only appointed MLROs can formally represent your firm; AKW supports as advisor or outsourced MLRO where appointed.
Remedial Action & Appeals
- Drafting Remedial Action Plans (RAPs) to close identified gaps
- Coordinating remediation, policy updates, and compliance reporting
- Preparing appeal submissions to contest penalties or findings
- Liaising with regulators until resolution
Why Businesses TRUST AKW
Supported hundreds of AML inspections across gold, real estate, crypto, and corporate services
Awarded KYC Guru (2020), Best Compliance Team (2021), DMCC Rising Star (2025)
Team of CAMS, ICA, and Big Four-trained experts
Familiarity with MoE, CBUAE, FIU, VARA, DFSA inspection protocols
Proven success in penalty mitigation and appeal management
Deep expertise in STR/SAR reporting, risk scoring, and inspection documentation
Facing an Inspection? Don’t Go In Blind.
Whether you’ve received an inspection notice or want to be inspection-ready at all times, AKW ensures you enter the room prepared, confident, and in control.