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 are the only Isle of Man partner for the award winning Northern Irish company, Decision Time Ltd and through this, can provide our clients with access to tools to increase efficiency in board meetings and in the complex area of risk management.

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 in the areas of AML/CFT, anti-bribery, data protection and working in a regulated environment.  Our continued work on the platform will see additional modules such as fraud and risk management as well as ‘instant’ learning where, for example, a regulator issues a thematic paper on a relevant topic.  

Our Regulatory & Compliance services team offers specialist advice in the following areas:

• Corporate Governance
• Regulatory Enforcement
• AML/CFT
• Data protection
• Licence applications
• Outsourced compliance
• FATCA/CRS
• Procedural reviews
• Training
• Global Tax investigations

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Regulatory & Compliance Services Contacts