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Regulatory Updates
Compliance Tasks
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Approvals & Attestations
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Breach & Incident Log
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ADGM EPRS Filing Calendar
Upcoming ADGM FSRA electronic prudential returns — based on your prudential category
Select your prudential category above to see your EPRS filing obligations.
Quarterly
COREP EBC
Common Reporting — Entity-Based Capital
ADGM FSRA · Capital Adequacy
Semi-Annual
FINREP Simplified
Financial Reporting — Simplified
ADGM FSRA · Financial Statements
Quarterly
MI Return
Management Information Return
ADGM FSRA · AUM & Key Metrics
Coming Soon
More Templates
Additional ADGM FSRA return types
More templates from Lee being added
Filing History
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Annual Business Risk Assessment
ADGM AML Rules 4.1 — documented annually, approved by senior management
Inherent Risk Scoring
Score each area 1 (Low) → 5 (High)
No BRA found for this year. Select a year above or click + New Year to start one.
Customer Due Diligence Log
ADGM AML Rules 5–7 — track CDD level, risk rating and screening status per customer
| Customer | Ref | Type | CDD Level | Risk | Sanctions | PEP | Adverse Media | Status | Next Review |
|---|
No customers in the CDD log yet. Click + Add Customer to get started.
Sanctions Screening Register
ADGM AML Rule 9 — screen all customers and counterparties against UAE, UNSC, OFAC, EU and UK lists
| Subject | Type | UAE | UNSC | OFAC | EU | UK | Result | Provider | Date | By |
|---|
No screening records yet. Click + Log Screening to record a check.
Suspicious Transaction Reports (STR / SAR)
ADGM AML Rule 11 — MLRO-reviewed workflow with tipping-off controls; submitted to UAE FIU via goAML
| Subject | Type | Predicate Offence | Amount | Status | goAML Ref | 🔒 | Created |
|---|
No STRs on record. CO or MLRO can log a new report using + New STR.
Compliance Gap Assessment
AI-driven review of your AML programme against ADGM/FSRA requirements
Optionally describe your current compliance posture — what measures you have in place. Leave blank for a baseline assessment assuming no formal programme.
| Account Holder | Type | Year | Jurisdiction | Balance | FATCA Status | CRS Status | Submission |
|---|
No accounts or entities recorded yet. Click + Add Account / Entity to begin.
| Year | Report Type | Status | Accounts | Portal Reference | Submitted By | Submitted At |
|---|
No submissions logged yet. Click + New Submission Record to begin.
UAE CbCR: Required for MNE groups with consolidated revenue ≥ AED 3.15 billion. Notification and report both due within 12 months of financial year end. Filed with the UAE Federal Tax Authority (FTA).
| Year | MNE Group | UPE | Filing Role | Notification | Report | FTA Refs |
|---|
No CbCR filings recorded yet. Click + New CbCR Filing to begin.
| Year | Period | Asset Types | Users | Jurisdiction | Submitted | Status |
|---|
No CARF reports logged yet. Click + Add CARF Report to begin.
Add Account / Entity
Account Holder
Full Legal Name *
Holder Type
Account Number / Reference
Account Type
Date of Birth (individuals)
Reporting Year *
Tax Residency & TINs
Jurisdiction of Residence
US TIN (FATCA)
Foreign TIN (CRS)
Classification
FATCA Status
CRS Status
Financial Data (Year-End)
Currency
Account Balance
Dividends
Interest
Gross Proceeds
Other Income
Submission Tracking
Status
Submission Date
Portal Reference
Notes
New Submission Record
Reporting Year *
Report Type
Status
Account Count
Portal Reference (ADGM FCCP)
Notes
New CbCR Filing
Financial Year *
Filing Role
MNE Group Name
Ultimate Parent Entity
UPE Jurisdiction
Notification Filing
Due Date
Filed Date
Status
FTA Reference
CbCR Report Filing
Due Date
Filed Date
Status
FTA Reference
Notes
| Report Name | Type | Period | Due Date | Submitted | Status | Reg Ref |
|---|
No reports logged yet. Click + Add Report to begin.
| Data Category | Data Subjects | Legal Basis | Storage | Retention | Next Review | Status |
|---|
No data categories registered yet. Click + Add Data Category to begin.
| Year | Relevant Activity | In Scope | Notification | Report | MOF Reference |
|---|
No ESR records yet. Click + Add ESR Record to begin.
| Ref | Received | Complainant | Type | Category | Assigned To | Status |
|---|
No complaints logged yet. Click + Add Complaint to begin.
| Provider | Service | Function | Risk | Country | Contract End | Next Review | Status |
|---|
No outsourcing arrangements registered yet. Click + Add Arrangement to begin.
| Direction | Regulator | Subject | Date | Related To | Response Due | Status |
|---|
No regulatory notifications logged yet. Click + Add Notification to begin.
| Type | Party | Role | Category | Date Identified | Disclosed | Next Review | Status |
|---|
No conflicts of interest registered yet. Click + Add Conflict to begin.
| Type | Regulator | Rule / Reference | Applied | Granted | Expires | Status |
|---|
No waivers or modifications recorded yet. Click + Add Entry to begin.
| Category | Licence No. | Issue Date | Expiry | Annual Fee | CO | Status |
|---|
No VARA licences recorded yet. Click + Add Licence to begin.
| Filing Type | Description | Due Date | Submitted | Reference | Status |
|---|
No VARA filings recorded yet. Click + Add Filing to begin.
| Ref | Obligation Type | Reg Reference | Timeframe | Last Notified | Next Due | Applicability | Status |
|---|
No obligations recorded yet. Click + Add Obligation to begin.
| Client | Product / Service | Category | Risk Profile | Assessment Date | Outcome | Next Review | Actions |
|---|
No suitability assessments found.
| Material Name | Type | Target Audience | Prepared By | Review Date | Approved By | Expiry | Status | Actions |
|---|
No marketing materials found.
| Client | Disclosure Type | Date Sent | Method | Version | Acknowledged | Next Review | Status | Actions |
|---|
No client disclosures found.
Add FSRA Report
Report Name *
Report Type
Regulatory Reference
Reporting Period
Status
Due Date
Submission Date
Portal Reference (FSRA Connect)
Notes
Add Data Category
Data Category *
Data Subjects
Legal Basis
Purpose of Processing
Data Controller
Data Processor (if different)
Storage Location
Retention Period
Third-Party Transfers
Security Measures
Status
Last Reviewed
Next Review Date
Notes
Add ESR Record
Financial Year *
Relevant Activity
In Scope?
MOF Reference
Notification
Due Date
Submitted Date
Notification Status
ESR Report
Due Date
Submitted Date
Report Status
Notes
Add Complaint
Add Outsourcing Arrangement
Add Regulatory Notification
Add Conflict of Interest
Add Waiver / Modification
Add VARA Licence
Add VARA Filing
Add CARF Report
Add FSRA Obligation
Add Suitability Assessment
Add Marketing Material
Add Client Disclosure
Log Screening
Subject Name *
Subject Type
Reference / CDD Ref
Lists Checked
Result *
Screening Provider
Match Detail / False Positive Reason
Notes
New Suspicious Transaction Report
⚠ Tipping-off warning: This report is confidential. Once submitted, it will be locked and visible only to MLRO, CO and Admin.
Subject Name *
Subject Type
Transaction Date
Amount
Currency
Transaction Type
Transaction Reference
Reason for Suspicion * (tipping-off protected — do not share with subject)
Predicate Offence (if known)
MLRO Review
MLRO Notes
goAML Reference Number
Reason for Declining
Add Customer
Screening Completed
Prepare Return
This will generate a pre-filled Excel template with your company details. Complete the financial data in the yellow cells, then upload the file manually to the
ADGM EPRS portal.
Once submitted, come back and mark this return as Submitted.
Approved Persons Register
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AML Training Records
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Temporary AP Cover
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CPD Log
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Board Meeting Log
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Declarations & Sign-off
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Generate Declaration Pack
Pre-populate Lee's FSRA-compliant templates with the firm name and employee details — ready to print and sign.
Employee Requests
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Conflict of Interest Register
Log and track conflicts of interest declared by approved persons. Required annually under ADGM/FSRA governance rules.
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MLRO Annual Report
Annual MLRO report to the board. Use AI generation to draft a report from live platform data, then review and submit for board sign-off.
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Fit & Proper Assessments
Record ongoing F&P checks for each approved person. Track honesty & integrity, competence, and financial soundness with overall outcome.
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Board & Committee Register
Board composition and committee membership register — appointment dates, terms, roles, and status for all board and committee members.
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Add CoI Declaration
Generate MLRO Annual Report
MandateAI will pull your breach log, gap assessments, AML activities, approved persons, training records, F&P assessments, and CoI declarations to draft the MLRO Annual Report. Review and edit the draft before submitting to the board.
Generated Report Preview
Key Findings
Recommendations
New MLRO Report
Add F&P Assessment
Add Board / Committee Member
COREP EBC — Capital Adequacy Return
Saved REQ Returns
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Period & Firm Info
EBC 01.01 — Expenditure Based Capital (USD)
EBC 01.02 — Capital Resources & Adequacy (USD)
FINREP Simplified — Financial Reporting
Saved FINREP Returns
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Period & Firm Info
MI Return — FSRA Management Information
Saved Returns
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Period & Firm Info
M_01.00 — Assets Under Management (AUM) (USD thousands)
| Row | Total AUM 010 |
CIF Discretionary 020 |
CIF Advisory 030 |
OMA Discretionary 040 |
OMA Advisory 050 |
|---|---|---|---|---|---|
| 010 — Total AUM | |||||
| 020 — Contracted & managed by ADGM company | |||||
| 030 — Contracted ADGM / managed 3rd party outside ADGM | |||||
| 040 — Serviced ADGM / contracted 3rd party outside ADGM |
M_01.00 — Assets Under Administration / Custody (AUA/AUC) (USD thousands)
| Row | Total AUA/AUC 150 |
AUA 160 |
AUC 170 |
|---|---|---|---|
| 050 — Total AUA / AUC | |||
| 060 — Contracted & serviced by ADGM company | |||
| 070 — Contracted ADGM / serviced 3rd party outside ADGM | |||
| 080 — Serviced ADGM / contracted 3rd party outside ADGM |
M_01.00 — Total Asset Base (USD thousands)
| Row | Total Assets Covered 180 |
Discretionary Mgmt 190 |
Advisory 200 |
Admin 210 |
Custody 220 |
|---|---|---|---|---|---|
| 090 — Total asset base | |||||
| 100 — Asset base originating in ADGM | |||||
| 110 — Asset base originating outside ADGM |
Generate Annual Declaration Pack
ℹ The document will be pre-populated with your firm name, the employee's name, and the current date. The employee still signs manually.
Add Temp AP Cover
⚠ ADGM FSRA must be notified if the absence exceeds the permitted period under GEN Rule 3.3. Record the FSRA notification reference below once submitted.
FSRA Notification
Add CPD Activity
Add Board Meeting
Add Approved Person
Add AML Training Record
Cyber Risk Register
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Cyber Incident Log
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Operational Risk Register
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Business Continuity Plans
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Add Operational Risk
Add BCP Plan
Add Cyber Risk
Log Cyber Incident
FSRA 24-hr Notification
ICAAP — Internal Capital Adequacy Assessment
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Internal Audit Tracker
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New ICAAP Assessment
Capital Figures (USD)
Stress Testing
Board & Submission
New Audit Engagement
Findings
Compliance Documents
Evidence Library
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| Policy Title | Category | Version | Owner | Status | Next Review | Actions |
|---|---|---|---|---|---|---|
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No policies added yet. Click + Add Policy to begin building your register.
Auto-populate each section from platform data, add your commentary, then download a ready-to-submit Word document.
1
Executive Summary
Overview of compliance performance for the year, key achievements, and material issues.
10
Key Risks & Recommendations
Summarise key risks identified during the year, remediation actions, and recommendations to the Board.
11
Declaration
Compliance Officer declaration. Leave blank to use the default statement.
Add Policy
Policy Title *
Category *
Status
Version
Policy Owner
Effective Date
Next Review Date
Description / Scope
Document Link (SharePoint / Google Drive / URL)
Or — Paste Policy Text Directly
Version History
Add New Version
Version Number *
Changed By
Change Notes
Company Profile
Your firm's registration details. These are used across all modules — gap assessments, declarations, and compliance reports.
Required: Company Name · ADGM Entity ID · Contact Name · Jurisdiction
Determines which regulatory frameworks apply to your account.
✓
Profile saved
Notifications
Configure where MandateAI sends alerts — task overdue, breach logged, employee request submitted, weekly digest. Save each channel and use Test to verify.
MS Teams
Slack
WhatsApp Business
SMS
Alert Email
Audit Log
A record of all actions taken on your account — login, tasks, approvals, breaches, declarations, and more.
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MandateAI
Document Compliance Auditor
Compare your documents line-by-line against verified regulatory rules from your active knowledge base.
Zero retention
SHA-256 verified
Live rule matching
1
Upload DocumentDrop a PDF here or click to browse
AML policy, custody agreement, compliance manual, T&Cs…
Raw PDF never transmitted — text only
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—
SHA-256—
Verified
2
Review & RedactRemove sensitive data before auditing3
Document TypeFocuses the right rulesFindings
Compared against your verified regulatory knowledge base. Document content is never stored.
⚖️
No document audited yet
Upload a compliance document, redact any sensitive details, then click Analyse Document.
Previous Audits
Clear document and reset?
This will remove the uploaded document, all extracted text, any redactions, and the current results.
MandateAI — Compliance Report
Generated
