Services
Please choose a service for more information
- Special Projects & Reports
- Corporate Governance
- New business assistance
- Regulatory
- Business purchase
- Investor Services
- Outsourced work
- Reviews
- Updates
- Documentation
To contact us about any of these services then please click here
Special Projects & Reports
- Reports and Action Plans
- Research papers – a recent example being a review of conflict of interest
- Transition management (moving to new systems/ workflows)
- Integration management (integrating companies/ teams, mergers)
- Feasibility studies & SWOT analysis (for new companies considering moving to the Island)
Corporate Governance
- Review based on Combined Code
- Risk analysis and policy writing.
- Board effectiveness
- Acting as a Non Executive Director
New business assistance
- Assistance for companies moving to the Island – wide experience of the Isle of Man business community
- Relocation of fund managers
- Assistance with licence application
- Liaison with Regulator
- Liaison with Prime Brokers and Administrators
- Liaison with Lawyers and Auditors
- Assistance with staff recruitment
- Finding and provisioning of premises
- Provision of middle and back office services
- Handholding during start-up phase
Regulatory
- Pre regulatory inspection check
- Implementation of recommendations
- MiFID and TCF
Business purchase
- Pre acquisition review
- Post acquisition establishment of procedures and controls
Investor Services
- Undertake initial and annual due diligence visits on Hedge Fund
Outsourced work
- Compliance & Risk Management
Reviews
- KYC files
- Client file reviews
- Operations, Procedures and controls, internal audit
- Compliance health check
- Data Protection
Updates
- AML - To reflect
a) the new Financial Service Rule Book 2008 legislation and revised Anti Money Laundering and Countering the Financing of Terrorism Handbook 2008 coming into effect 1st August 2008 or
b) the Insurance Act 1986 – Insurance (Anti-Money Laundering) Regulations 2008 and the IPA’s Guidance Notes on Anti-Money Laundering and Preventing the Financing of Terrorism coming into effect 1st September 2008.
Documentation
- Manuals written – Compliance, Anti Money Laundering, Staff Handbook, Business Continuity etc
- Procedures – Complaints Handling, Code of Conduct, Personal Account Dealing etc
- Annual compliance monitoring programme