Blogs about: Strategic Compliance
Featured Blog
Prospectus Exemptions... myths & misunderstandings
We see a lot of clients who really want to avoid having to prepare a prospectus. Sometimes, I’m not sure all the effort is worthwhile and it may be better to take another look at the costs and … more →
StypersonPOPE
Prospectus Exemptions... myths & misunderstandings
Simon Webber wrote 2 months ago: We see a lot of clients who really want to avoid having to prepare a prospectus. Sometimes, I … more →
FSA Principles for Businesses & Approved Persons
Simon Webber wrote 2 months ago: This isn’t a particularly original or insightful page because it’s basically just a cut … more →
Who needs to be FSA Authorised?
Simon Webber 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 →
OFT Anti-Money Laundering (AML) Registration
Simon Webber wrote 4 months ago: On the 31st July 2009, the Office of Fair Trading (OFT) opened its registration for Anti-Money Laund … more →
Preparing & Verifying Financial Promotions
Simon Webber wrote 5 months 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 months 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 7 months ago: I can’t tell you what it is about Manchester which captures the soul; it could be the city … more →
FSA Client Categories
Simon Webber 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
Simon Webber wrote 7 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 7 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 7 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 7 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 7 months ago: The Financial Services and Markets Act (FSMA) imposes a restriction on unregulated collective invest … more →
Planning a Fund
Simon Webber wrote 9 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 10 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 10 months ago: “The rain, it raineth on the just and also on the unjust fella; but chiefly on the just, becau … more →
Types of Investor under FSA rules
Simon Webber wrote 10 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 10 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 10 months ago: When running an authorised business, or even when operating within exemptions to authorisation, it i … more →
