Blogs about: Compliance Advisor

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What is an EIS fund and how is it regulated?

What is an EIS fund? The short answer is that it’s an arrangement through which less experienced and time-poor investors can put money into Enterprise Investment Scheme qualifying unquoted compa… more →

StypersonPOPE

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

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

Terms of Business

Simon Webber wrote 4 months ago: These terms of business govern the services which StypersonPOPE will provide to you as laid out in t … more →

Tags: styperson pope, compliance advice, stypersonpope

Data Security in Authorised Firms

Simon Webber wrote 5 months ago: In 2008, the FSA made “Data Security” one of their priorities and although they do not lay down rule … more →

Tags: Anti money laundering, compliance training, strategic compliance, styperson pope, training and competence, management systems and controls, compliance director, Financial Crime, fsa authorised firm

Working In A Regulated Environment

Simon Webber wrote 5 months ago: “The rain, it raineth on the just and also on the unjust fella; but chiefly on the just, beca … more →

Tags: compliance training, strategic compliance, styperson pope, compliance director, fsa authorised firm, interim compliance, Simon Webber, stypersonpope, unauthorised firms

Interim Compliance Officer

Simon Webber wrote 5 months ago: Losing a colleague at short notice is always difficult but if your firm is FSA authorised, and the p … more →

Tags: compliance training, strategic compliance, styperson pope, management systems and controls, cf10, cf11, compliance director, interim compliance, Simon Webber

Compliance Awareness & Understanding

Simon Webber wrote 5 months ago: When running an authorised business, or even when operating within exemptions to authorisation, it i … more →

Tags: compliance training, strategic compliance, styperson pope, training and competence, cf10, cf11, compliance director, fsa authorised firm, fsa investor categories

Interim Compliance Officer

Simon Webber wrote 1 year ago: Losing a colleague at short notice is always difficult but if your firm is FSA authorised, and the p … more →

Tags: cf10, cf11, compliance advice, corporate finance, fsa authorised, FSA Compliance, fsa regulated, Private Equity, Simon Webber

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: 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: FSA Compliance, strategic compliance, compliance advice, Simon Webber, fsa authorised, fsa regulated, regulatory advice, corporate finance, unregulated collective investment scheme

Simon Webber

Simon Webber wrote 1 year ago: Simon Webber Simon is an FSA-approved Compliance Officer, Money Laundering Reporting Officer and Dir … more →

Tags: cf10, cf11, compliance advice, compliance training, corporate finance, fsa authorised, FSA Compliance, fsa regulated, Private Equity

Strategic Compliance Advice to FSA Firms

Simon Webber wrote 1 year ago: It is vital to the devlelopment of any regulated business that the Board is well advised on complian … more →

Tags: FSA Compliance, cf10, strategic compliance, compliance advice, Simon Webber, fsa authorised, fsa regulated, regulatory advice, corporate finance


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