Sturgeon_Compliance_R_medSturgeon Compliance Services (SCS) was created just a few years ago to support the team at Sturgeon Ventures during the term time of The Regulatory Incubator and to prepare the applications and ongoing support after the firms’ breakaway.

We also work with many of the leading Compliance Consultancy companies in the United Kingdom and around the world as Sturgeon Ventures is able to engage their services to work alongside SCS and we manage these trusted client relationships whilst working with these other consultancies. These consultancies also engage Controlled Function personnel of Sturgeon Ventures in order to satisfy ‘threshold conditions’ until their own staff are competent.

We provide a full range of consultancy advice, reviews and compliance support services to firms who have been incubatees of The Regulatory Incubator Ecosystem and are then independently regulated by the Financial Conduct Authority (FCA), the Prudential Regulation Authority  (PRA) and others. This includes entities seeking authorisation and firms and individuals who are uncertain about whether their activities need to be regulated. We can also support firms regulated by the Maltese Financial Services Authority (MFSA).

From time to time, Sturgeon Ventures recommends potential incubatees to other firms and then prepare their Authorisations. Alternatively we support another compliance consultancy and Sturgeon Ventures incubate their client and they then prepare the FCA Application and take client back for ongoing monitoring. We might also then put an NED into that firm, to assist with strategic development.

We have no competitors only trusted partners and specialist advisors.

We also offer a training academy service either in our offices or at clients’ offices. We also aim to be on our own E-Learning Platform which can also be useful for SMEs in the United Kingdom, who are not themselves regulated but under UK statutory law, need anti-money laundering, anti-bribery and due diligence training.

We also offer Non-Executive Directors for offshore funds, which are trained through our NED Governance Training here in the UK and Offshore.

We also offer Investor Relation Services in particular to Property Funds, and other closed ended funds who have in the past been Operated by Sturgeon Ventures.

Regulation is constantly evolving and with the advent of the new regulators, the FCA and the PRA, firms need to keep up with the changes and new initiatives such as The Alternative Investment Funds Directive.

Our aim is to apply our experience, knowledge and skills to producing comprehensive and workable compliance solutions, tailored to the real-life business needs of our clients. We also provide solutions not simply manuals and procedures.

Increasingly regulatory requirements are dictated at the European level and this requires us to keep a close eye on European developments, that effect all jurisdictions. We follow the progress of the European financial services directives so that we can highlight potential issues to our clients well in advance. Many of our clients have international operations and we have strong links with a number of consultancies in other jurisdictions, particularly the US. This enables us to provide a joined up service that encompasses more than one regulatory regime.

Don’t hesitate to discuss how we could help you.
Tel: 0203 167 4625 or Email: hello@sturgeonventures.com

 

Other Services

Corporate Finance

Financial Promotions Approvals

Start-up Consultancy Services