Authorised Firms
Our clients tend, by their innovative nature, to need compliance advice to be strategic and constructive; it needs to offer forward-thinking solutions, not regulatory roadblocks.
Whether you need a quick answer to a quick question or to turnaround your compliance function, the solution is a commercially-minded specialist who can act as an interim or part-time Compliance Officer (or just give occasional advice as you need it).
Most of the areas where StypersonPOPE‘s can help apply to all FSA-authorised investment firms but the last few below are specific to Operators of Unregulated Collective Investment Schemes:
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Advice on preparing and approving financial promotions
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Creating Compliant Systems & Controls, covering:
- Conduct of Business rules (COBS);
- Training & Competence (T&C);
- Financial Promotions (the FPO);
- Investor Certification and Categorisation;
- Anti-money laundering (AML); and
- Treating Customers Fairly (TCF).
- Acting as an Interim or turnaround Compliance Officer
- Compliance training, awareness and understanding
For Operators of Unregulated Colllective Investment Schemes:
- Advice on preparing and approving scheme documents
- Guidance on creating periodic statements
- FSMA, Treasury and FSA rules on promoting schemes
- Reviewing information memoranda and summaries
If you would like to discuss how we may be able to help your business, so please do contact Simon Webber, our Managing Director, on 07710 260 717 or sw@strategic-compliance.co.uk.
