Working in partnership with clients to support your regulatory requirements.
About Us
Reg Wise has been established to provide our services with the agility and flexibility of a boutique firm, where every client matters. We pride ourselves on providing client focused regulatory solutions.
With two decades of experience in regulatory functions, both in house and as consultants we understand our clients needs and expectations.
At Reg Wise, we are dedicated to providing tailored compliance solutions that prioritize collaboration, expertise, and precise execution.
Partner with us to navigate the regulatory landscape with confidence.
Our Ethos
Client-focused approach
Putting our clients’ needs and expectations at the forefront of everything we do; and working in partnership with clients.
Solutions Orientated
At Reg Wise, we are dedicated to providing clients with proactive solutions, rather than highlighting problems.
Transparency and precision in execution
Ensuring that deliverables are agreed upon and executed with accuracy and attention to detail.
We earn the trust of our clients through our support and responsiveness, ensuring clients feel prioritised and valued.
Services
Our commitment extends to delivering accurate guidance, ensuring you receive comprehensive assistance tailored to your specific needs.
Regulatory Authorisation & Licensing
We have extensive expertise in range of licensing applications and incorporations across UAE.
Outsourcing
We provide outsourcing services for the roles of Compliance Officer, Money Laundering Reporting Officer, Finance Officer and Risk Officer.
Remediation
We are experienced in supporting firms in dealing with remediation matters, including conducting file reviews and implementing procedures enhancements.
Training
We offer training sessions on AML and compliance topics, ensuring you stay current with regulatory requirements.
Accounting & Bookkeeping
Outsource your accounting and bookkeeping services.
Company Incorporation
We can support a range of company incorporations across the UAE.
Company Secretary
We provide outsourced Company Secretary services.
Visas
We can support you in your visa applications.
People
Lee Thompson
Founder
Mohamed Rafeeq
Partner – Finance
Josephine Paguia
Director – Compliance
Lee Thompson
Founder
Lee has worked as a compliance professional for the past 17 years in both the UK and UAE. In the UK, Lee worked for an FCA regulated, FTSE listed Wealth Manager, providing advice and guidance to the business on a variety of regulatory matters, including MiFID and the Retail Distribution Review.
In the UAE, Lee was a Director with a consultancy firm from 2015-2023 where he acted as Compliance Officer and Money Laundering Reporting Officer for several DFSA & FSRA Authorised Firms; and project managed multiple regulatory applications.
Lee is one of only a handful of UAE based Certified Investment Fund Director with the Institute of Bankers in Ireland (IOB), a Member of the Chartered Institute for Securities & Investment (CISI) and has a Bachelor of Arts Degree in Business Studies from Northumbria University.
Mohamed Rafeeq
Partner – Finance
Mohamed is a CFA Charter holder and brings 30 years of UAE finance and accounting experience to Reg Wise. Mohamed was most recently approved by the Financial Services Regulatory Authority as the Finance Officer for a Category 3c Asset Manager. Mohamed is well versed in all aspects of the FSRA’s Prudential Rulebook and the prudential requirements of Authorised Firms.
Mohamed spent 15 years with Abu Dhabi Capital Group LLC, a prominent MENA Institutional investor with a wide portfolio of asset classes, where he was Head of Finance and member of Executive Committee.
Mohamed is a Certified Management Accountant (CMA) from IMA USA and holds a Masters Degree in finance.
Josephine Paguia
Director – Compliance
Josephine joins Reg Wise bringing 15 years of experience in the financial services industry and has held senior roles in operations and compliance for almost 11 years in the UAE. Josephine is an approved Compliance Officer and Money Laundering Reporting Officer with the DFSA and the FSRA supporting several fund managers and financial advisory firms’.
Josephine has held the role of Operations Manager for a forex trading firm with oversight of its operations and compliance functions. She was also a senior Governance, Risk and Compliance Associate for a DIFC based compliance consultancy firm where she carried out various Compliance, MLRO and Company Secretarial functions for several DIFC firms. She also led the Corporate Services team in handling company incorporations and providing company secretarial services in both the DIFC and ADGM.
Jurisdictions
Abu Dhabi Global Market
The Abu Dhabi Global Market (ADGM) stands as a beacon of business-friendly excellence in the heart of the United Arab Emirates, and the Financial Services Regulatory Authority (FSRA) plays a pivotal role in upholding this reputation…
Dubai International Financial Centre
The Dubai International Financial Centre (DIFC) stands as a preeminent global financial hub, renowned for its business-friendly environment and robust regulatory framework…
Emirates Securities & Commodities Authority
The UAE Securities and Commodities Authority (SCA) is a federal financial regulatory agency that regulates the securities and commodities markets in the UAE including…
Abu Dhabi Global Market
The Abu Dhabi Global Market (ADGM) stands as a beacon of business-friendly excellence in the heart of the United Arab Emirates, and the Financial Services Regulatory Authority (FSRA) plays a pivotal role in upholding this reputation. Established in 2013, the ADGM serves as a dynamic international financial center, providing a progressive and supportive environment for businesses across diverse sectors. The FSRA, as the independent regulator of the ADGM, meticulously ensures the implementation of globally recognized financial standards and practices. This commitment to regulatory integrity fosters a secure and transparent ecosystem, attracting businesses seeking a robust platform for growth and innovation. With a strategic location, state-of-the-art infrastructure, and a forward-thinking regulatory environment, the ADGM and the FSRA collectively empower entrepreneurs, financial institutions, and corporations to thrive. Whether engaging in fintech, asset management, or international trade, businesses in the ADGM benefit from a conducive environment that encourages innovation, collaboration, and sustainable success, solidifying its status as a premier choice for those seeking a business-friendly jurisdiction in the Gulf region.
Dubai International Financial Centre
The Dubai International Financial Centre (DIFC) stands as a preeminent global financial hub, renowned for its business-friendly environment and robust regulatory framework. Established in 2004, the DIFC provides a strategic gateway connecting the Middle East, Africa, and South Asia with the broader international business landscape. Operating as an independent jurisdiction within the UAE, the DIFC boasts a world-class infrastructure, facilitating seamless business operations for companies across various sectors. At the heart of this financial ecosystem is the Dubai Financial Services Authority (DFSA), the autonomous regulatory body overseeing the DIFC. The DFSA ensures a secure and transparent financial environment by implementing international best practices and maintaining a regulatory framework aligned with global standards. This commitment to regulatory excellence fosters investor confidence, making the DIFC an attractive destination for businesses seeking stability and growth opportunities. Whether for fintech ventures, multinational corporations, or emerging startups, the DIFC, supported by the DFSA, consistently demonstrates its commitment to fostering innovation, economic diversification, and sustainable business practices in a dynamic and business-friendly setting.
Securities & Commodities Authority
The UAE Securities and Commodities Authority (SCA) is a federal financial regulatory agency that regulates the securities and commodities markets in the UAE including the Dubai Financial Market, Abu Dhabi Securities Exchange and Dubai Gold & Commodities Exchange. SCA was established based on Federal Decree No. 4 of 2000. It establishes regulations, rules, and instructions necessary for implementing capital market regulations. Its objectives include fostering a favorable investment environment, enhancing confidence, ensuring adequate disclosure and transparency among listed joint-stock companies, and providing adequate protection for investors and securities dealers.
Testimonials
“I have known Lee in both the capacity of an FSRA Regulatory Authorisations Senior Manager and as a Senior Executive Officer. Lee understands the regulatory licencing application process, and know how to present a thorough application and the regulators expectations.“
Vishal Sacheendran
Ex Financial Services Regulatory Authority
Binance Head of Regional Markets
“Lee and his team were instrumental in supporting us through our DFSA Innovation Testing Licence application and provided invaluable guidance that shaped our AML and compliance processes that support our business.“
Imad Gharazeddine
Founder & SEO
Mamo