Blogs about: Sophisticated Investor

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TYPES OF INVESTORS {PART II}6 comments

kenyantykoon wrote 6 days ago: This is a continuation of yesterday’s post about types of investors.(read them first. It won’t … more →

Tags: inside investor, types of investors, ultimate investor

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 →

Tags: management systems and controls, strategic compliance, styperson pope, compliance director, fsa investor categories, Simon Webber, stypersonpope, unauthorised firms, authorised

FSA Sophisticated Investor and High Net Worth Individual Certificates

Simon Webber wrote 2 months ago: Some communications about financial services are restricted to ‘certified’ investors. Th … more →

Tags: collective investment schemes, strategic compliance, styperson pope, unregulated collective investment scheme, authorised, Collective Investment Scheme, collective investment scheme order, collective investment scheme rules, compliance advice

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: collective investment schemes, compliance training, strategic compliance, styperson pope, authorised, Collective Investment Scheme, collective investment scheme order, collective investment scheme rules, compliance advice

Types of Investor under FSA rules

Simon Webber wrote 5 months ago: If you are a potential investor, we’d be very grateful if you could take 30 seconds to complet … more →

Tags: strategic compliance, styperson pope, certificate, Certified, elective professional client, Exemption, fsa investor categories, high net worth, high net worth individual

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, compliance advisor, Simon Webber, fsa authorised, fsa regulated, regulatory advice, corporate finance

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: 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, compliance advisor, Simon Webber, fsa authorised, fsa regulated, regulatory advice, corporate finance


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