Blogs about: Fsa Regulated
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Who needs to be FSA Authorised?
As is so often the case with regulation, it’s almost impossible to get an answer to a simple question like this without ending up being barraged by unhelpful and unfamiliar technical terms. Wit… more →
StypersonPOPE
Who needs to be FSA Authorised?
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 →
FSA Client Categories
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
wrote 7 months ago: The Financial Services and Markets Act (FSMA) imposes a restriction on unregulated collective invest … more →
Quick Guide to The Structure of a Fund
wrote 7 months ago: This isn’t intended to be comprehensive (if it was, it would be better written by a lawyer and … more →
Three routes to promote an Unregulated Collective Investment Scheme
wrote 8 months ago: The Financial Services and Markets Act (FSMA) imposes a restriction on unregulated collective invest … more →
Working In A Regulated Environment
wrote 11 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
wrote 11 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
wrote 11 months ago: When running an authorised business, or even when operating within exemptions to authorisation, it i … more →
Interim Compliance Officer
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
wrote 1 year ago: We’ve worked on a number of property development funds recently. They have all been structure … more →
Investor Certificates
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
wrote 1 year ago: The Financial Services Authority (FSA) categorises individual investors in a number of ways and allo … more →
Simon Webber
wrote 1 year ago: Simon Webber Simon is an FSA-approved Compliance Officer, Money Laundering Reporting Officer and Dir … more →
Freeing Up FSA-required Capital Reserves
wrote 1 year ago: FSA-authorised firms are required to maintain an amount of their capital in reserve. The required l … more →
Compliance Awareness & Understanding
wrote 1 year ago: When running an authorised business, or even when operating within exemptions to authorisation, it i … more →
FSA Reporting & Relationship Management
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
wrote 1 year ago: As well as ongoing advice, most firms will require occasional, more intensive, advice either to ache … more →
Working Within a Regulated Environment
wrote 1 year ago: “The rain, it raineth on the just and also on the unjust fella; but chiefly on the just, becau … more →
Strategic Compliance Advice to FSA Firms
wrote 1 year ago: It is vital to the devlelopment of any regulated business that the Board is well advised on complian … more →
