Blogs about: Collective Investment Scheme

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Preparing & Verifying Financial Promotions

Simon Webber wrote 3 days ago: Writing and approving financial promotions is an extremely important part of any authorised firm … more →

Tags: strategic compliance, styperson pope, unregulated collective investment scheme, collective investment schemes, compliance director, corporate finance, promoting unregulated collective investment schemes, Simon Webber, stypersonpope

Raising Funds under Prospectus Directive Exemptions

Simon Webber wrote 5 days ago: The Prospectus Directive is EU legislation requiring companies and funds structured as unregulated c … more →

Tags: strategic compliance, styperson pope, unregulated collective investment scheme, collective investment schemes, compliance director, corporate finance, promoting unregulated collective investment schemes, Simon Webber, stypersonpope

What is a Mutual Fund?

sofiaf1 wrote 1 month ago: Mutual Fund is a collective investment scheme that pools many from many investors and invests it in … more →

Tags: mutual fund

Three Routes to Promote a UCIS

Simon Webber wrote 2 months ago: The Financial Services and Markets Act (FSMA) imposes a restriction on unregulated collective invest … more →

Tags: collective investment schemes, strategic compliance, styperson pope, unregulated collective investment scheme, authorised, cis, collective investment scheme order, collective investment scheme rules, compliance advice

What is an EIS fund and how is it regulated?

Simon Webber wrote 2 months ago: What is an EIS fund? The short answer is that it’s an arrangement through which less experienc … more →

Tags: strategic compliance, styperson pope, collective investment schemes, compliance director, fsa authorised firm, interim compliance, Simon Webber, stypersonpope, collective investment scheme rules

Quick Guide to The Structure of a Fund

Simon Webber wrote 2 months ago: This isn’t intended to be comprehensive (if it was, it would be better written by a lawyer and … more →

Tags: strategic compliance, styperson pope, unregulated collective investment scheme, collective investment schemes, promoting unregulated collective investment schemes, scheme operator, authorised, collective investment scheme order, collective investment scheme rules

FSA Sophisticated Investor and High Net Worth Individual Certificates

Simon Webber wrote 2 months ago: Some communications about financial services are restricted to ‘certified’ investors. Th … more →

Tags: strategic compliance, styperson pope, unregulated collective investment scheme, collective investment schemes, compliance director, fsa authorised firm, promoting unregulated collective investment schemes, Simon Webber, sophisticated investor

Three routes to promote an Unregulated Collective Investment Scheme

Simon Webber wrote 2 months ago: The Financial Services and Markets Act (FSMA) imposes a restriction on unregulated collective invest … more →

Tags: compliance training, strategic compliance, styperson pope, collective investment schemes, compliance director, fsa authorised firm, fsa investor categories, promoting unregulated collective investment schemes, Simon Webber

Planning a Fund

Simon Webber wrote 4 months ago: At an early stage of planning a fund (especially if it’s going to end up as an unregulated col … more →

Tags: compliance training, strategic compliance, styperson pope, unregulated collective investment scheme, collective investment schemes, promoting unregulated collective investment schemes, Simon Webber, stypersonpope, unauthorised firms

Property Funds - Investment & Development

Simon Webber wrote 1 year ago: We’ve worked on a number of property development funds recently.  They have all been structure … more →

Tags: cis, compliance advice, compliance advisor, corporate finance, fsa authorised, FSA Compliance, fsa regulated, fund, high net worth individual

Investor Certificates

Simon Webber wrote 1 year ago: If, under the FSA’s rules you qualify as a High Net Worth Individual or a Sophisticated Invest … more →

Tags: FSA Compliance, strategic compliance, compliance advice, Simon Webber, fsa authorised, fsa regulated, regulatory advice, corporate finance, Private Equity

Certified High Net Worth & Sophisticated Investors

Simon Webber wrote 1 year ago: The Financial Services Authority (FSA) categorises individual investors in a number of ways and allo … more →

Tags: Certified, compliance advice, compliance advisor, corporate finance, fsa authorised, FSA Compliance, fsa regulated, high net worth individual, HNWI

Marketing an Unregulated Collective Investment Scheme

Simon Webber wrote 1 year ago: IFAs are not the only route.  “Unregulated Collective Investment Scheme” (UCIS) is somet … more →

Tags: FSA Compliance, strategic compliance, compliance advice, Simon Webber, fsa authorised, regulatory advice, unregulated collective investment scheme, ucis, Marketing


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