Blogs about: Unregulated Collective Investment Scheme

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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 3 days ago: Writing and approving financial promotions is an extremely important part of any authorised firm … more →

Tags: strategic compliance, styperson pope, 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 4 days ago: The Prospectus Directive is EU legislation requiring companies and funds structured as unregulated c … more →

Tags: collective investment schemes, strategic compliance, styperson pope, Collective Investment Scheme, compliance advice, compliance consultancy, Compliance Consultant, compliance director, compliance interim

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

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

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: compliance training, strategic compliance, styperson pope, collective investment schemes, promoting unregulated collective investment schemes, Simon Webber, stypersonpope, unauthorised firms, Collective Investment Scheme

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

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: FSA Compliance, strategic compliance, compliance advice, Simon Webber, fsa authorised, regulatory advice, ucis, Marketing, fund


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