StypersonPOPE

We specialise in providing strategic compliance advice to businesses involved in corporate finance, business angel investment, EIS fund management, unregluated collective investment scheme operation and alternative investment management.  Many of our clients are authorised by the FSA, others are unregulated and want to ensure that they operate within the law.  We advise:

• Corporate Finance firms (FSA authorised and exempt);
• Operators of Collective Investment Schemes (UK and overseas);
• Asset Managers; 
• Investment firms; and
• Unregulated businesses including lenders, incubators and recruitment agencies.
• See our Clients page for a few examples…

The services we provide to these firms cover:

• Strategic development;
• Investor relations;
• Management Systems & Controls (SYSC);
• Data Security
• Conduct of Business rules (COBS);
• Training & Competence (T&C);
• Collective Investment Schemes;
• Financial Promotions (the FPO);
• Investor Certification and Categorisation;
• Anti-money laundering (AML);
• Complaints handling; and
• Reporting.

If you think that StypersonPOPE may be able to help your business, please do contact us for an initial discussion.  Simon Webber, our MD, can be reached on 07710 260 717 or sw@strategic-compliance.co.uk.