At Forth ME Auditors L.L.C., we provide Anti-Money Laundering (AML) and Countering Financing of Terrorism (CFT) Agreed-Upon Procedures (AUPs) to help businesses assess the effectiveness of their compliance frameworks and meet regulatory expectations in the UAE.
Our AML / CFT AUP engagements are designed to provide an independent assessment of your policies, procedures, controls, and documentation against applicable regulatory requirements and industry best practices. Through a structured review approach, we help organisations identify compliance gaps, strengthen risk management processes, and improve their overall AML / CFT governance.
AML / CFT Agreed-Upon Procedures (AUPs) are independent compliance review engagements where specific procedures are performed based on requirements agreed between the client and the auditor.
Unlike an audit or assurance engagement, an AUP does not provide an audit opinion or assurance conclusion. Instead, we perform defined procedures and report factual findings based on our examination, allowing management and stakeholders to make informed decisions regarding AML / CFT compliance.
We evaluate the effectiveness of your organisation’s AML compliance framework, including policies, procedures, and internal controls designed to prevent financial crime risks.
Our review covers:
AML / CFT policies and procedures
Governance and compliance responsibilities
Risk assessment methodology
Customer due diligence processes
Transaction monitoring procedures
Record-keeping practices
Internal reporting mechanisms
We assess the effectiveness of your KYC and Customer Due Diligence procedures to ensure appropriate identification, verification, and risk assessment processes are in place.
Our procedures may include reviewing:
Customer identification documents
Beneficial ownership information
Customer risk classification
Enhanced due diligence measures
Periodic customer reviews
High-risk customer monitoring
Our AML / CFT AUP procedures evaluate whether your transaction monitoring controls are appropriately designed and implemented to identify unusual or suspicious activities.
Areas reviewed include:
Transaction monitoring systems
Suspicious transaction indicators
Escalation procedures
Suspicious Activity Report (SAR) processes
Internal compliance reviews
We help businesses evaluate their compliance with UAE AML / CFT requirements and relevant international standards.
Our assessment considers applicable requirements issued by:
UAE regulatory authorities
Ministry of Economy requirements
Financial Intelligence Unit (FIU) expectations
FATF recommendations
Industry-specific compliance guidelines
We begin by understanding your business activities, regulatory obligations, risk exposure, and existing AML / CFT controls.
Together with management, we establish the scope, objectives, and specific procedures required for the engagement.
Our professionals perform detailed reviews of policies, customer files, transaction records, and compliance documentation.
We document factual findings, highlight areas requiring improvement, and identify opportunities to strengthen AML / CFT controls.
We provide a comprehensive AUP report presenting procedures performed, findings identified, and practical recommendations for enhancing compliance effectiveness.
Our team combines audit expertise, regulatory knowledge, and practical business understanding to deliver meaningful AML / CFT reviews.
We understand the UAE compliance environment and help businesses align their AML / CFT frameworks with applicable regulatory expectations.
Our independent approach provides management with an unbiased assessment of existing controls and compliance practices.
Beyond identifying gaps, we provide actionable recommendations that help organisations improve their compliance processes and reduce financial crime risks.
Our AML / CFT AUP services are suitable for:
Designated Non-Financial Businesses and Professions (DNFBPs)
Real estate companies
Dealers in precious metals and stones
Corporate service providers
Accounting and auditing firms
Professional service providers
Trading companies
Financial and investment-related businesses
Other regulated entities requiring AML compliance reviews
Effective AML / CFT controls are essential for protecting your organisation from financial crime risks and maintaining regulatory confidence.
Partner with Forth ME Auditors L.L.C. for independent AML / CFT Agreed-Upon Procedures (AUPs) designed to enhance compliance, transparency, and operational resilience.
Contact us today to discuss your AML / CFT review requirements.
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Whether you require an audit, tax advisory, accounting support, or strategic business consulting, our team is ready to help.