Regulatory & Compliance Services
Our renowned Regulatory & Compliance services team benefits our clients with over 40 years of compliance experience in the financial services sector.
We regularly assist clients with a range of regulatory compliance matters including assistance with regulator enforcement, providing support pre or post a supervisory visit, reviews of procedures and delivery of training. The team has significant experience in all areas of regulation which impact licence holders and can provide outsourced compliance support as well as assistance with discreet projects.
We have developed, in partnership with a local provider, an Isle of Man specific elearning platform which provides our clients with access to learning at executive and operational level across a number of areas including AML/CFT, data protection and fraud and risk management. Subscribers also benefit from regular ‘instant’ learning on regulatory developments.
Our Regulatory & Compliance services team offers specialist advice in the following areas:
- Corporate Governance
- Regulatory Enforcement
- Data protection
- Licence applications
- Outsourced compliance
- Procedural reviews
- Global Tax investigations
Pensions: Investment Decisions: a possible shift in approach and undesirable consequences for SIPP providers in the Isle of Man?
Past Ombudsman determinations The (then) Deputy Pensions Ombudsman in the Isle of Man (the “Ombudsman”) has published several determinations, dating...
Data protection – getting back to basics in 2022
Data protection can be complex with lots of jargon and legalese so, when it comes to the world of...
The Isle of Man’s Ship and Aircraft Registries
Ship Registry The purpose of a Ship Registry is to establish a ships nationality and ensure that every ship belongs...