Licensing and corporate
Licensed activities, renewals, share registers, board minutes and authority filings.
Compliance Auditing Services in Dubai and Abu Dhabi: Licensing, Tax, AML, UBO and Labour Compliance Reviews
A compliance audit checks whether a UAE business meets the laws and licence conditions that apply to it: licensing, VAT, corporate tax, AML, beneficial ownership, labour and WPS, data protection and free zone rules. SGA World provides compliance auditing services in Dubai and Abu Dhabi, rating each gap by risk and giving a practical action plan before regulators, banks or investors find the issues.
- Ministry of Economy and Tourism approved auditor
- 500+ clients
- Dubai & Abu Dhabi
UAE businesses now answer to many regulators at once: the licensing authority, the Federal Tax Authority, the Ministry of Economy and Tourism for AML and beneficial ownership, MOHRE for labour and WPS, and data protection rules. A missed obligation in any one of them can mean fines, blocked licence renewals or frozen bank accounts.
SGA World provides compliance auditing services in Dubai and Abu Dhabi: an independent review of the obligations that apply to your business, a risk-rated list of gaps and a clear action plan, so you can fix issues before a regulator, bank or investor finds them.
- Activities, renewals and authority conditions
- Licensing
- VAT, corporate tax and transfer pricing
- Tax
- DNFBP duties and ownership records
- AML and UBO
- Labour law, WPS and Emiratisation
- People
At a glance
Compliance Auditing Services: Key Points
- Scope: licensing, VAT, corporate tax, AML, UBO, labour and WPS, data protection and free zone rules.
- Output: a compliance register with each obligation, its status, risk rating and action.
- When: before licence renewal, an investment or sale, an inspection, or after rapid growth.
- Different from financial audit: a compliance audit checks rules and obligations, not the accuracy of the accounts.
- Regulators: licensing authority, FTA, MoET, MOHRE and sector regulators.
- Follow-up: we can fix the gaps: registrations, filings, policies and records.
Our services
What Do Our Compliance Auditing Services Cover?
VAT compliance
Registration, returns, invoices and record keeping.
Corporate tax compliance
Registration, elections, returns and transfer pricing disclosures.
AML compliance
DNFBP status, goAML, risk assessment and KYC.
UBO compliance
Beneficial ownership registers and filings.
Labour and payroll
Contracts, WPS salary payments, gratuity and Emiratisation.
The basics
What Is a Compliance Audit and How Is It Different From a Financial Audit?
A financial audit gives an opinion on whether the annual financial statements are true and fair. A compliance audit checks whether the business is meeting the laws, regulations and licence conditions that apply to it.
A company can have clean audited accounts and still be non-compliant: for example, with no UBO register, a missed corporate tax registration, or salaries paid outside WPS. A compliance audit finds these gaps and tells you how to close them.
Obligations
Which UAE Compliance Obligations Do We Review?
| Area | Regulator | Typical obligations |
|---|---|---|
| Licensing | Economic department or free zone authority | Activities, renewals, audited accounts at renewal |
| VAT | Federal Tax Authority | Registration, returns, invoices, records for 5 years |
| Corporate tax | Federal Tax Authority | Registration, returns within 9 months, records for 7 years |
| AML | Ministry of Economy and Tourism (for DNFBPs) | goAML, risk assessment, KYC, reporting |
| Beneficial ownership | Registrar | UBO, shareholder and nominee registers, 15-day updates |
| Labour | MOHRE | Contracts, WPS, gratuity, Emiratisation targets |
| Data protection | UAE data protection law | Lawful processing and security of personal data |
How we work
How Does Our Compliance Audit Work?
Step01
Map obligations
Identify the laws, regulators and licence conditions that apply to you.
Step02
Collect evidence
Gather registrations, filings, policies and records.
Step03
Test
Check each obligation against evidence and sample transactions.
Step04
Rate gaps
Rate each gap by risk and potential penalty.
Step05
Action plan
Agree owners, deadlines and fixes.
Step06
Fix and monitor
Help close gaps and set up a compliance calendar.
Why SGA World
Why Choose SGA World for Compliance Auditing Services?
Tax, audit and AML in one review
One team covers the obligations that usually sit with several advisers.
Ministry-approved audit firm
SGA World is a Ministry of Economy and Tourism approved audit firm, so our reports are accepted where it matters.
Audit and tax in one team
Auditors, VAT, corporate tax and transfer pricing specialists work together, so nothing falls between advisers.
Qualified chartered accountants
A team of chartered accountants qualified in India and the UK, focused on UAE rules.
500+ clients
Mainland and free zone companies, from start-ups and SMEs to regional groups.
Listed with major UAE banks
Our audit work is recognised by major UAE banks for facilities and account reviews.
Worked example
Example: A Compliance Audit Before Bringing In an Investor
A Dubai services company preparing for an investor asked for a compliance audit across its mainland LLC and a free zone subsidiary.
We found:
- the free zone company had not registered for corporate tax on time;
- the UBO register did not reflect a share transfer made the year before;
- two employees were paid outside WPS;
- the company's data protection practices for client files were undocumented.
All issues were fixed within six weeks, including the late registration, the UBO update and payroll changes. The investor's due diligence later raised no compliance findings.
What to prepare
What Do We Need for a Compliance Audit?
Licences
Trade licences, activities and authority correspondence.
Tax
VAT and corporate tax registrations, returns and FTA letters.
Ownership
Share register, UBO register and constitutional documents.
People
Employee list, contracts and WPS records.
AML
goAML status, policies and customer files, if a DNFBP.
Policies
Data protection and other key policies.
Fees and timing
How Much Does a Compliance Audit Cost?
Fees depend on the number of entities, the areas in scope, whether the business is AML-regulated, the number of employees and the state of records. A focused compliance audit for an SME typically takes two to three weeks. We agree a fixed fee after scoping.
Avoid problems
Common Compliance Gaps We Find
Late corporate tax registration
AED 10,000 penalty
UBO register not updated after a share transfer
Penalties and bank questions
Salaries paid outside WPS
MOHRE penalties
Licence activities not matching the business
Renewal and banking problems
No AML programme for a DNFBP
Inspection findings and fines
No document retention policy
Records unavailable for audits
Compliance desk
Find Compliance Gaps Before a Regulator Does
Tell us your entities, activities and concerns. We will scope a compliance audit and confirm a fixed fee.
We review
- Licensing and corporate records
- VAT and corporate tax
- AML and UBO
- Labour and WPS
- Data protection
Location: Dubai & Abu Dhabi
Talk to Our Team
Our offices in Business Bay, Dubai and Al Bateen, Abu Dhabi support clients across the UAE.
Dubai
Office 1923, The Exchange Tower, Business Bay, Dubai
Abu Dhabi
Khalidiya Towers M-B6, W10, Al Bateen, Al Khalidiyah, Abu Dhabi
Talk to an auditor
Tell us your company type, jurisdiction and deadline. We will confirm the scope, timeline and fee.
- WhatsApp us+971 50 627 3556
- Call us+971 4 570 1795
- Email us[email protected]
- Book an appointmentChoose a time that suits you
Prefer a form? Send us a detailed enquiry.
Insights
Related guides
Who prepared this page
Written and reviewed by SGA World's audit and tax team
This guide is prepared by chartered accountants at SGA World Auditing Accounting L.L.C S.P.C in Business Bay, Dubai, a Ministry of Economy and Tourism approved audit firm, and checked against Federal Tax Authority legislation and guidance. It is reviewed whenever the rules change.
- Last reviewed 14 October 2026
- Chartered accountants from India and the UK
- FTA representation through Saif Chartered Accountants
Have a question about your company?
Tell us your activity, jurisdiction and deadline. A chartered accountant will reply.
Ask an expertFrequently asked questions
Compliance Auditing Services – FAQs
Short answers to the questions UAE businesses ask us most. Still unsure?
Talk to our team01.What is a compliance audit?
An independent review of whether a business meets the laws, regulations and licence conditions that apply to it, with a risk-rated action plan.
02.How is a compliance audit different from a financial audit?
A financial audit gives an opinion on the financial statements. A compliance audit checks obligations such as licensing, tax, AML, UBO and labour rules.
03.Is a compliance audit mandatory in the UAE?
Not as a general rule, but many obligations it checks are mandatory, and regulators, banks and investors increasingly expect evidence of compliance.
04.Which areas does a compliance audit cover?
Typically licensing, VAT, corporate tax, AML, beneficial ownership, labour and WPS, data protection and free zone rules.
05.When should a business have a compliance audit?
Before licence renewal, an investment or sale, a regulator inspection, or after rapid growth or a change of ownership.
06.What is the penalty for late corporate tax registration?
AED 10,000.
07.Do free zone companies need compliance reviews?
Yes. Free zone companies have their own authority rules, plus federal obligations such as corporate tax, VAT and UBO.
08.Does a compliance audit include AML?
Yes, where the business is a DNFBP. We review goAML registration, risk assessment, KYC and reporting.
09.How long does a compliance audit take?
A focused review for an SME usually takes two to three weeks.
10.Can you fix the gaps you find?
Yes. We can handle registrations, filings, UBO updates, policies and records.
11.Do you provide compliance audits in Abu Dhabi?
Yes, from our Abu Dhabi branch in Al Bateen and our Dubai office in Business Bay.
12.What do we receive at the end?
A compliance register with each obligation, its status, risk rating, owner and deadline for action.
References:Federal Tax Authority · Ministry of Economy and Tourism · Ministry of Human Resources and Emiratisation — reviewed 14 October 2026
