Blogs about: Strategic Compliance

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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 →

Tags: styperson pope, unregulated collective investment scheme, collective investment schemes, compliance director, corporate finance, promoting unregulated collective investment schemes, Simon Webber, stypersonpope, unauthorised firms

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 →

Tags: styperson pope, unregulated collective investment scheme, collective investment schemes, compliance director, corporate finance, promoting unregulated collective investment schemes, Simon Webber, stypersonpope, Collective Investment Scheme

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 →

Tags: styperson pope, compliance director, Simon Webber, stypersonpope, compliance advice, compliance interim, compliance officer, Compliance Consultant, compliance consultancy

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, styperson pope, authorised, client categories, client category, compliance advice, compliance consultancy, Compliance Consultant, compliance director

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 →

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

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 →

Tags: collective investment schemes, styperson pope, Collective Investment Scheme, collective investment scheme rules, compliance advice, compliance advisor, Compliance Consultant, compliance director, compliance interim

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 →

Tags: styperson pope, unregulated collective investment scheme, collective investment schemes, promoting unregulated collective investment schemes, scheme operator, authorised, Collective Investment Scheme, collective investment scheme order, collective investment scheme rules

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, styperson pope, unregulated collective investment scheme, authorised, Collective Investment Scheme, collective investment scheme order, collective investment scheme rules, compliance advice, compliance consultancy

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, styperson pope, authorised, Collective Investment Scheme, collective investment scheme order, collective investment scheme rules, compliance advice, compliance advisor

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 →

Tags: collective investment schemes, compliance training, styperson pope, unregulated collective investment scheme, Collective Investment Scheme, compliance advice, compliance awareness, compliance review, fsa authorised

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 →

Tags: Anti money laundering, compliance training, management systems and controls, styperson pope, training and competence, compliance advice, compliance advisor, compliance awareness, compliance consultancy

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, styperson pope, authorised, compliance advice, compliance advisor, compliance awareness, compliance consultancy, Compliance Consultant, compliance director

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

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 →

Tags: compliance training, styperson pope, management systems and controls, cf10, cf11, compliance director, interim compliance, Simon Webber, stypersonpope

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 →

Tags: compliance training, styperson pope, training and competence, cf10, cf11, compliance director, fsa authorised firm, fsa investor categories, interim compliance

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 →

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

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

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, compliance advice, Simon Webber, fsa authorised, fsa regulated, regulatory advice, corporate finance, Private Equity, Financial Crime Prevention

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, compliance advice, compliance advisor, Simon Webber, fsa authorised, fsa regulated, regulatory advice, corporate finance, unregulated collective investment scheme


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