Unequal Consultancy Services

RMC’s specialised and experienced team of professionals offers bespoke advisory and support to reputable operators in the financial services industry, assisting with licensing and regulatory requirements to establish operations in various financial districts.
The focus of our consultancy services is advising on the authorisation and supervision of investment services firms, asset managers and funds.
RMC team has wide-ranging experience with advising on the full range of investment services regulatory matters, including advising on all aspects of ongoing compliance with European and Swiss regulatory requirement as well as specific regulatory issues such as reorganisations, investment services solicitation and fund distribution, more often than not involving a cross-border element.

Licence Authorisation

RMCWise has expertise in seeking to secure regulatory licences as required by main Regulators. Our specialised team brings exceptional insight into the application process and are able to guide clients through the process and assist with issues that might present a barrier to obtain a licence.

Our service includes:

  • Meetings during the pre-submission stage to identify issues before preparing the application pack;
  • Fund Offering Documentation;
  • M&A, Resolutions and Other Fund related documentation;
  • Introduction to local service providers;
  • Taxation;
  • Directorship and Investment Committee Services;
  • Assistance in presenting the application pack to the MFSA;
  • Management of the process through to successful receipt of your licence.

AIFMD Gap Analysis

RMCWise can undertake an AIFMD gap analysis of documents and reporting requirements of a non-EEA-based fund managers to compare current disclosures with those required under the Directive’s pre-investment and periodic disclosure requirements, as well as annual fund reporting requirements.

The gap analysis will focus on the following documents:

  • Current fund offering documents
  • Due diligence questionnaires
  • Marketing materials, across all media
  • Monthly portfolio summaries and other investor communications
  • The fund’s annual financial statements and supporting notes

Once we have completed our review, we will work with clients to address any gaps that have been identified, including drafting new text for non‐legal documentation as well as introducing practical AIFMD‐compliant procedures and controls to meet the requirements.