Blogs about: Fsa Compliance
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FSA Client Categories
Client categorisation is an area where many people (including FSA authorised firms) are still confused. To be fair to them, it has changed a few times and there are several complications and clashing… more →
StypersonPOPE
FSA Client Categories
Simon Webber wrote 2 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 2 months ago: The Financial Services and Markets Act (FSMA) imposes a restriction on unregulated collective invest … more →
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 →
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 →
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 →
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 →
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 →
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 →
Compliance Awareness & Understanding
Simon Webber wrote 1 year ago: When running an authorised business, or even when operating within exemptions to authorisation, it i … more →
Money Laundering Regulations 2007
Simon Webber wrote 1 year ago: Since December 2007, many companies that are not FSA authorised are also required to attend to finan … more →
FSA Reporting & Relationship Management
Simon Webber wrote 1 year ago: FSA Reporting Whereas much attentention is paid to ensuring that management have ready access to fin … more →
Ad Hoc Advice on Projects & Issues
Simon Webber wrote 1 year ago: As well as ongoing advice, most firms will require occasional, more intensive, advice either to ache … more →
Jester and the New Broom
— 1 comment
Jester wrote 1 year ago: Jester wants the Fat Controller back! He had his faults, I’ll concede that, but I’ve now … more →
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 →
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