Blogs about: Regulatory Advice

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Property Funds - Investment & Development

We’ve worked on a number of property development funds recently.  They have all been structured as unregulated collective investment schemes but have taken a variety of approaches in terms of st… more →

Strategic Compliance

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

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, Collective Investment Scheme, compliance advice, compliance advisor, corporate finance, fsa authorised, FSA Compliance, fsa regulated, fund

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: Certified, Collective Investment Scheme, compliance advice, corporate finance, Financial Crime Prevention, fsa authorised, FSA Compliance, fsa regulated, fund

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, Collective Investment Scheme, compliance advice, compliance advisor, corporate finance, fsa authorised, FSA Compliance, fsa regulated, high net worth individual

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: cis, Collective Investment Scheme, compliance advice, fsa authorised, FSA Compliance, fund, Marketing, Simon Webber, strategic compliance

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

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 →

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

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 →

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

Working Within a Regulated Environment

Simon Webber wrote 1 year ago: “The rain, it raineth on the just and also on the unjust fella; but chiefly on the just, beca … more →

Tags: cf10, strategic compliance, compliance advice, Simon Webber, fsa authorised, fsa regulated

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: cf10, compliance advice, compliance advisor, corporate finance, fsa authorised, FSA Compliance, fsa regulated, ICAAP, Private Equity


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