Blogs about: Strategic Compliance
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Preparing & Verifying Financial Promotions
Writing and approving financial promotions is an extremely important part of any authorised firm’s work, whether they contain information on clients or on the firm’s own services. The FSA … more →
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Preparing & Verifying Financial Promotions
Simon Webber wrote 4 days 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 days ago: The Prospectus Directive is EU legislation requiring companies and funds structured as unregulated c … more →
Forever Manchester and The Infinity Fund
Simon Webber wrote 2 months ago: Manchester is more than where we keep an office, it’s home. Many of our clients in London as … more →
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 →
What is an EIS fund and how is it regulated?
Simon Webber wrote 2 months ago: What is an EIS fund? The short answer is that it’s an arrangement through which less experienc … more →
Quick Guide to The Structure of a Fund
Simon Webber wrote 2 months ago: This isn’t intended to be comprehensive (if it was, it would be better written by a lawyer and … more →
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 →
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 →
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 →
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 →
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 →
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