Ad Hoc Advice January 30, 2009
Posted by Simon Webber in anti-money laundering, collective investment schemes, compliance training, management systems and controls, strategic compliance, styperson pope, training and competence, Uncategorized, unregulated collective investment scheme.Tags: aml, cf10, cf11, ciso, cobs, coll, collective investment scheme, collective investment scheme order, collective investment scheme rules, compliance advice, compliance advisor, compliance awareness, compliance consultancy, compliance consultant, compliance director, compliance interim, compliance manager, compliance officer, compliance report, compliance review, conduct of business rules, corporate finance, corporate finance house, exemption, financial crime, financial crime prevention, financial services authority, fsa authorisation, fsa authorised, fsa authorised firm, fsa capital requirement, fsa compliance, fsa regulated, fsa regulation, fsa reporting, fund documents, fund launch, fund manager, head of compliance, icaap, information memorandum, kyc, marketing, marketing unregulated collective investment schemes, mlr 2003, mlr 2007, money laundering, money laundering reporting, money laundering reporting officer, money laundering rules, private equity, promoting unregulated collective investment schemes, promotion, property development fund, property fund, property investment, property investment fund, regulated activity, regulated environment, regulatory advice, simon webber, stypersonpope, sysc, systems and controls, t&c, tcf, treating customers fairly, ucis, unauthorised, unauthorised firms, Uncategorized, unregulated collective investment, unregulated investment
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As well as ongoing and strategic advice, most firms will require occasional, more intensive advice either to acheive a specific goal or to overcome a particular issue.
Examples of our recent acheivements include:
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Designing strategic alterations to a client’s permissions and corporate structure to reduce FSA-required capital reserves by over 90%;
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Overseeing an application to the FSA from a new corporate finance firm;
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Creating and writing processes for two corporate finance firms;
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Updating documents and processes after FSA rule changes (CRD and MiFID);
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Creating and writing processes for a new division operating in a new market;
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Designing a plan for an innovative private equity investment scheme to market directly to individuals rather than IFAs;
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Creating compliant documents for two property investment funds; and
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Designing business models to avoid unecessary (and costly) regulation for unauthorised firms.
If you would like to discuss any projects or issues that require strategic compliance advice, please do call or e-mail Simon Webber, our Managing Director.
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