compliance booklet

COMPLIANCE
BOOKLET
July 2014
ENCOURAGING TRANSPARENCY
The DMCC Free Zone comprises of more than
8,900* member companies. An important
part of the DMCC Authority’s role is to ensure
that the Rules and Regulations of the Free
Zone are upheld so that all members are
offered optimal opportunity for success. An
emphasis is also placed on the fairness and
transparency between the company and its
employees.
*July 2014
THE ROLE OF DMCC
COMPLIANCE
The compliance department is committed
to guarantee that DMCC is conducting and
expanding its different lines of business,
whilst maintaining due diligence to prevent
illicit activities that would abuse DMCC’s
facilities and harm its reputation and image.
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DMCC MEMBER
COMPANY OBLIGATIONS
• Abide by the DMCC Free Zone Rules and Regulations
http://www.dmcc.ae/open-a-business-member-zone-rulesand-regulations
• Allow the DMCC inspection team on site to review premises,
check identification and run through any process required to
ensure compliance with DMCC’s Rules and Regulations and
UAE laws
• Answer all reasonable questions, be polite and cooperative
• Provide access to files and documents requested by
the inspector
• Submit audited financial statements on time. A DMCC
member company must submit original audited financials to
DMCC within 90 days after the end of each financial year.
Documents are to be hand delivered to the Client Service
Centre on Level 1 in Almas Tower, JLT
• Only conduct activities that the company is licensed for
• Employ only authorised employees and ensure they have
valid residence visas or access cards
• Report any suspicious activities within the DMCC Free Zone
by sending an email to [email protected]
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MEET THE DMCC FREE ZONE
COMPLIANCE AND INSPECTION TEAM
• Hassan Nasser
Director of Compliance
[email protected]
• Ahmed Al Matrooshi
Inspection Manager
[email protected]
• Ali Ahmed
Inspector
[email protected]
• Mohammed Kraizim
Inspector
[email protected]
• Faiqa Al Khatib
Compliance Control
[email protected]
• Perlito Sevillejo
Compliance Control
[email protected]
• Marites Ranido
Compliance Assistant
[email protected]
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WHAT YOU CAN EXPECT
FROM THE DMCC FREE ZONE
COMPLIANCE AND INSPECTION TEAM
• We urge all members to check the inspector’s ID card and
credentials before dealing with them. Individuals who present
themselves as DMCC inpectors and are not able to produce a
valid ID are not allowed to inspect and should be reported to
DMCC immediately
• Provide the establishment subject to inspection with any
requested information on the reasons and the scope of
the inspection
• The inspector should conduct the inspection in accordance
with professional standards
• The inspector should act in a civilised manner and not cause
any harm to the business or premises of the establishment
• The inspection should be conducted in the presence of
one or two persons representing the management of
the establishment
• Any information received by the inspector should be treated
with complete confidentiality
• The inspection should not be based on any personal interest
and should not be done in an offensive manner
• No violation should be recorded before conducting
the necessary enquiry with the representatives of the
establishment subject to inspection
• All information, observations and violations should be
recorded in writing by the inspector
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FREQUENTLY ASKED QUESTIONS
What happens if I am issued a notice of violation?
If the inspection team finds evidence that your company is not
abiding by the DMCC Free Zone Rules and Regulations, they may
issue a violation notice. The DMCC Authority will give a company a
notice period within which to remedy the issue. Failure to remedy
within the notice period will incur a fine.
How do I pay a fine?
Inspection fines can be paid via the DMCC member portal. If they
remain unpaid, services to the company will be stopped. If unpaid for
more than 90 days, DMCC shall commence proceedings to terminate
the company’s license.
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What should I do if I do not agree with
the violation notice?
The DMCC Free Zone has an established
procedure for evaluating appeals against the
authority’s decisions. Appeals may be sent to
[email protected] or registered online.
Please follow the instructions online at
www.dmcc.ae under “Appeal Against a DMCC
Compliance Decision”.
Who should I contact if I am not satisfied
with the conduct of the DMCC inspection
team?
DMCC’s inspection team are experienced
professionals who make a commitment to
conduct themselves in a professional manner
at all times. Should you believe the conduct
of DMCC’s inspection was contrary to this
commitment, you may send a confidential
email to [email protected].
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CONCORDIA AND DUBAI MUNICIPALITY
(DM) INSPECTIONS FOR FOOD RETAIL
IN DMCC FREE ZONE
Food health and safety requirements within the DMCC Free Zone
are controlled and managed by Concordia and Dubai Municipality.
Concordia’s role is to ensure that all retailers are in line with DM
regulations with regards to public health and safety.
From the initial design stage and layout approval of all retail
outlets, to carrying out operations, Concordia will ensure that all
retailers comply with public health and safety requirements and
the food code set by the DM. This reduces hazards and enhances
the consistency of good practices. Concordia regularly inspects all
DMCC Free Zone retail venues.
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There are different stages of these inspections:
Stage (1): Layout and Design Inspection that will be conducted after
completion of fit-out work to verify and ensure that the works have been
completed in accordance with design and food health and safety requirements.
Stage (2): Unannounced Operations Inspections that will be conducted in order
to verify and ensure that all operational procedures and practices are carried
out in accordance with food health and safety requirements.
In parallel, DM’s Food Control Department - Inspectors and Health Control
Department- Inspectors conduct random, unannounced inspections of all food
premises and retail in order to control food health and safety in JLT.
Both parties, DM and Concordia, will issue inspection reports that will be given
to retailers, so they could take the proper actions in response to the comments.
Follow up inspections will be conducted by both parties to ensure that all
required actions have been taken. Should retailers not take remedial action, or
repeat the violations, they will be fined. The purpose of Concordia’s inspections
is that when DM Inspectors visit JLT, they will find everything is compliant.
Reports issued by the DM’s inspectors will include the inspector’s name,
email address and contact number at the end of the report, so they may be
approached directly by you with your queries.
Questions regarding Concordia’s inspection reports may be directed to the
Concordia Service Desk at [email protected] or 04 368 8883
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CONCORDIA AND DUBAI MUNICIPALITY
(DM) INSPECTIONS FOR RETAIL
IN DMCC FREE ZONE
DMCC’s Compliance Inspectors carry out inspections as well.
The focus of their inspections is to ensure that DMCC members
comply with the Free Zone Rules and Regulations (available at
dmcc.ae) as they apply to licensing, operations, offices, visas
and other areas covered by the Regulations.
This collaborative regime will ensure that the highest quality
services are being offered to end users in our Free Zone and that
all Concordia, DM and DMCC regulations are being complied
with by DMCC retailers. DMCC looks forward to the cooperation
of all retailers to make JLT a quality retail destination.
Thank you for your continued cooperation.
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For more information on Dubai Municipality Health and Safety
regulations, please visit the below sites:
For DM Health and Safety guidelines for retail:
http://login.dm.gov.ae/wps/portal/DepartmentHomePageEn?WCM_
GLOBAL_CONTEXT=/wps/wcm/connect/DMContentEn/Home/Common/
Health+and+Safety+Technical+Guidelines
The DM food code - English:
http://www.foodsafe.ae/contentfiles/uploads/Food_Code_English_interactive.pdf
The DM food code - Arabic:
http://www.foodsafe.ae/contentfiles/uploads/Food-Code-Arabic-Binder2.pdf
The DM food safety requirements for food premises (in brief):
http://www.foodsafe.ae/pic/business-requirements.aspx
For general DM contact information:
http://www.dm.gov.ae/wps/portal/CommonPageEn?WCM_GLOBAL_
CONTEXT=/wps/wcm/connect/dmcontenten/Home/Common/ContactUs
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dmcc.ae