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Regulated Firms Support Package

Wilton is proud to provide a collection of facilities which can be brought together to form a cohesive set of services to assist Regulated Firms in the Financial Sector with their obligation to the Financial Services Authority and/or the Financial Services Commission in the Isle of Man. Each service is separate and can be picked on in case of need and when the time is right.

Features and main areas of advice

• Obtaining FSA Approval for the business
• Advice on Compliance Manuals
• Advice on Compliance Monitoring Programme
• Approval of Accounting System
• Business Categorisation by the Regulatory Authority
• Quarterly Compliance Returns
• Controllers Report (Annual)
• Close Links Return (Annual)
• Advertising and Complaints File Review
• Compliance and Monitoring Returns
• Ensuring Continual Professional Development of Employees
• Anti-Money Laundering ( & MLRO) Systems

The detail of looking the Regulatory Responsibilities of a Business are onerous and time consuming.

Wilton looks after a range of companies which are regulated by the FSA and assists with the original approval of the businesses as well as their on going regulatory requirements. Failure to submit the returns on time can result in Fines and ultimately suspension.

Supervision of detailed aspects like the Advertising File, Complaints File and Continual Professional Development of staff.

We are also specialists with Gaming Companies and their Licence requirements.

Please contact Wilton Group on +44 (0)20 7355 3525 or click here for which services may be appropriate to you and which may be suitable for your circumstances.

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