Styperson POPE

Strategy & Compliance for Investment Firms

Ad Hoc Advice

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:

  • Designing strategic alterations to a client’s permissions and corporate structure to reduce FSA-required capital reserves by over 90%;
  • Overseeing an application to the FSA from a new corporate finance firm;
  • Creating and writing processes for two corporate finance firms;
  • Updating documents and processes after FSA rule changes (CRD and MiFID);
  • Creating and writing processes for a new division operating in a new market;
  • Designing a plan for an innovative private equity investment scheme to market directly to individuals rather than IFAs;
  • Creating compliant documents for two property investment funds; and
  • 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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