Blogs about: Fsa Authorised
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FSA Principles for Businesses & Approved Persons
This isn’t a particularly original or insightful page because it’s basically just a cut and paste from the FSA’s handbook but the principles are very imoprtant to the FSA and they sh… more →
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FSA Principles for Businesses & Approved Persons
Simon Webber wrote 2 months ago: This isn’t a particularly original or insightful page because it’s basically just a cut … more →
Who needs to be FSA Authorised?
Simon Webber wrote 2 months ago: As is so often the case with regulation, it’s almost impossible to get an answer to a simple q … more →
Preparing & Verifying Financial Promotions
Simon Webber wrote 5 months ago: Writing and approving financial promotions is an extremely important part of any authorised firm … more →
Raising Funds under Prospectus Directive Exemptions
Simon Webber wrote 5 months ago: The Prospectus Directive is EU legislation requiring companies and funds structured as unregulated c … more →
FSA Client Categories
Simon Webber wrote 7 months ago: Client categorisation is an area where many people (including FSA authorised firms) are still confus … more →
Three Routes to Promote a UCIS
Simon Webber wrote 7 months ago: The Financial Services and Markets Act (FSMA) imposes a restriction on unregulated collective invest … more →
FSA Sophisticated Investor and High Net Worth Individual Certificates
Simon Webber wrote 7 months ago: Some communications about financial services are restricted to ‘certified’ investors. Th … more →
Three routes to promote an Unregulated Collective Investment Scheme
Simon Webber wrote 7 months ago: The Financial Services and Markets Act (FSMA) imposes a restriction on unregulated collective invest … more →
Planning a Fund
Simon Webber wrote 9 months ago: At an early stage of planning a fund (especially if it’s going to end up as an unregulated col … more →
Data Security in Authorised Firms
Simon Webber wrote 10 months ago: In 2008, the FSA made “Data Security” one of their priorities and although they do not lay down rule … more →
Working In A Regulated Environment
Simon Webber wrote 10 months ago: “The rain, it raineth on the just and also on the unjust fella; but chiefly on the just, becau … more →
Interim Compliance Officer
Simon Webber wrote 10 months ago: Losing a colleague at short notice is always difficult but if your firm is FSA authorised, and the p … more →
Compliance Awareness & Understanding
Simon Webber wrote 10 months ago: When running an authorised business, or even when operating within exemptions to authorisation, it i … more →
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 →
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 →
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 →
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 →
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 →
Simon Webber
Simon Webber wrote 1 year ago: Simon Webber Simon is an FSA-approved Compliance Officer, Money Laundering Reporting Officer and Dir … more →
