Ongoing Compliance Support

RMC Wise assists financial services operators with their regulatory obligations. Our compliance support is designed to assist you in addressing Regulator’s expectations and manage future regulatory developments. RMC Wise can be engaged on a retained basis, by the task or on a ‘paid-hourly’ basis.

Support Services include:

  • Drafting of tailor-made compliance manuals, monitoring programmes and full compliance controls, policies and procedures (compliance framework);
  • Assistance with the design and maintenance of regulatory requirements, annual reports, and other internal controls;
  • Assistance with managing and addressing regulatory correspondence and notifications;
  • Financial Promotions, Marketing and Advertising Reviews;
  • Regular visits to the firm’s premises to introduce the compliance framework and train your team in its application.