INTEGRTY

Insurance broker compliance & licensing support in the UAE (CBUAE & DIFC)

INTEGRTY Partners provides high-quality, cost-efficient, practical solutions for your brokerage

Our aim: helping UAE insurance brokers stay compliant and audit ready – without overcomplicating the process

With regulatory expectations, guidance and enforcement from authorities such as the Central Bank of the UAE (CBUAE), DFSA and ADGM expanding across all sectors, SMEs face increasing pressure to comply with Anti-Money Laundering (AML) laws and regulations. This challenge is especially acute for businesses without sufficient in-house compliance expertise and resources.

These demands follow significant AML/CFT reforms in the UAE and growing global recognition of its strengthened financial crime prevention framework.

How INTEGRTY Partners supports UAE insurance broker compliance

We help insurance brokers meet regulatory requirements in a way that is practical, cost efficient and tailored to the realities of running a brokerage in the UAE. We work with CEOs, Compliance Officers, MLROs and Risk Managers to streamline licensing, strengthen governance, provide mandatory training, prepare for regulatory inspections and ensure that day-to-day operations meet CBUAE or DFSA standards without unnecessary complexity or cost.

Our insurance brokerage services:

1. DFSA and CBUAE broker licensing and renewal

We manage the entire licensing and renewal process, so you can meet CBUAE or DIFC requirements without delays or costly rework. Our approach ensures submissions are accurate, complete, and backed by the governance documents regulators expect to see.

Service Includes:

  • Preparation and submission of new insurance broker licence and renewal applications
  • Board-approved policies and internal control frameworks
  • Reporting formats that meet regulatory standards
  • Direct liaison with CBUAE or DFSA to resolve queries quickly

2. DFSA and CBUAE broker regulation compliance assessment and remediation

We identify where your current compliance arrangements fall short of CBUAE and DFSA standards and provide a clear, prioritized action plan to close those gaps. Our process blends regulatory expertise with a practical understanding of brokerage operations, ensuring remediation is effective without disrupting business.

Includes:

  • Identification of high-risk areas that require immediate action
  • End-to-end gap analysis mapped against CBUAE Broker’s Regulations and DFSA requirements
  • Remediation roadmap with clear timelines and accountability
  • Core policy updates to align with CBUAE and DFSA requirements

3. AML/CFT and sanctions compliance

We build AML-programs that are proportionate to your risk profile, ensuring your firm meets sector-specific guidance from CBUAE and DFSA. From risk-assessment to policy and execution, we make AML controls practical and effective.

Includes:

  • AML/CFT risk assessments tailored to your brokerage model
  • AML Policies, CDD, KYC and screening processes, and EDD procedures
  • Interim or secondment support for the MLRO function
  • Mandatory AML training & awareness programs

4. Audit and inspection readiness

We prepare your firm for regulatory visits so you can respond with confidence. Our readiness programs identify gaps before regulators do and equip you with evidence that demonstrates compliance.

Includes:

  • Pre-audit documentation reviews and file sampling
  • Mock inspections based on CBUAE and DFSA assessment methods
  • Corrective action plans and remedial tracking
  • Audit logs and evidence packs for supervisory reviews

5. Compliance training and advisory

We build capability across your organization, so compliance is understood and applied at every level. Our training focuses on practical application, and our advisory desk ensures you have expert support when it matters

Includes:

  • Mandatory training for DFSA Approved Individuals, compliance teams, operations, and client-facing teams
  • Regulatory change briefings and operational impact guidance
  • Scenario-based AML, conduct, and governance workshops
  • On-demand advice for time-sensitive regulatory queries

Why choose INTEGRTY Partners?

  • Deep working knowledge of CBUAE and DFSA expectations
  • Proven track record of delivering cost-effective, scalable solutions
  • Compliance strategies that don’t slow down your business
  • Flexible engagement models from project based to retained support
  • Transparent scope and pricing with no hidden costs
  • Senior Dubai based team with regional insight and operational experience

Key terms:

CBUAE, DFSA, UAE, Insurance Broker (CBUAE term), Insurance Intermediary (DIFC term), CBUAE Broker’s Regulation, AML, Risk Assessment, training, Licence renewal, DFSA Approved Individuals, cybersecurity, reporting, fit & proper requirements.

Simplify compliance!
Contact us to discuss your next step.

Let us handle compliance, so you can focus on growth

Whether applying for a licence, preparing for an inspection or scaling operations, INTEGRTY Partners helps your leadership team, compliance function and operational staff meet broker regulations and AML requirements with clarity, confidence and control.

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INTEGRTY Partners

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