All FSA-authorised firms, especially private equity and corporate finance firms, need the compliance advice that they receive to be strategic and constructive, it needs to offer solutions, not objections.
For smaller firms, a full time in-house specialist is prohibitively expensive but using firms of lawyers or consultants is even more so and often it doesn’t offer the practical answers that firms need. The answer is a commercially-minded specialist to act as an interim or part-time Compliance Officer, or even just to be on call to give occasional advice or help out on projects.
Advice falls into several areas:
Simon Webber is an FSA-approved Compliance Officer, Money Laundering Officer and Director. He has experience of giving compliance, general management and commercial advice to FSA-authorised corporate finance and private equity firms often working on unquoted equity investments and property funds.
If you would like to discuss any aspects of strategic compliance advice, please do give Simon a call or send him an e-mail.
