Compliance Consultancy

Compliance Consultancy firms have a tendency not to disclose their consultancy fees until after they have had an initial meeting with prospective clients. At Sturgeon Ventures LLP we have adopted a different approach. Our fees are agreed at outset and the cost for our standard services are listed below. This open and transparent approach has been received well by our clients.

We charge £8,000+VAT for a Part IV Authorisation with the FSA, there are no hidden charges. We put you in touch with competitive auditors for your ongoing audits and they can review your Capital Requirement for the Authorisation. We have great relationships with other service providers, including lawyers, book keepers & office space.

We can provide Locums if you are a company, with only one Regulated Person

We can be your Regulatory Incubator, as we are a Regulated Investment Management & Corporate Finance Advisory Firm, saving you regulatory time &money with no regulatory capital to find in the first instance, please email to discuss further. We work closely with other Compliance Consultancies also offering this service to their clients.

Our Corporate Finance Team, may be able to find you a previously authorised firm to buy or sell your current firm, we can then prepare the regulatory " Change of Control" please email to discuss.

We have many written references, and clients you can speak to about our compliance and incubator services.

If you would like a quote for a specific service (e.g. Change of Control application, Change of Legal Entity, staff training or production of compliance procedures/a new compliance manual) please contact us info@sturgeonventures.com


This service offers a full on-site visit twice yearly (every six months). A compliance audit will be undertaken focusing on the following areas: conduct of business, money laundering, systems and controls, training and competence, client assets, market conduct, complaints and compliance monitoring.

The compliance audit will review the following (list is not exhaustive and will be tailored to firm’s activities):

· Firm’s procedures will be reviewed (compliance manual, AML procedures)
· Advice Process / Selection of client files
· Conflicts of interest
· TCF
· Research · Trading activities
· Personal account dealing
· Scope of Permissions Notice
· Human Resources Procedures
· Complaints
· Approved persons register
· Financial promotions
· Breaches register
· Client money/assets
· Impact of EU Directives
· Senior Management Arrangement, Systems & Controls
· Compliance Monitoring
· Training & Competence
· Market Conduct

On completion of the audit the firm will be issued with a report documenting the audit findings. Furthermore, the report will include suggested corrective action (where appropriate) and recommendations, which can then be remedied with follow on visits more bespoke to your business.

In addition to the above the firm will receive an ongoing compliance consultancy support service. So, if you have a query, call us and we will resolve it. This will ensure that any compliance issues are resolved quickly.


Firm is visited every quarter (4 on-site visits per year)


Firm is visited monthly (12 on-site visits per year).


A one day compliance audit is undertaken. Following the audit a detailed report is issued. Please note that the compliance health check does not include the ongoing compliance support service, this

We also provide in-house training for newly regulated firms, and provide compliance procedures and systems, this is tailored to your firm's needs.


Tailored Compliance Solutions

Fund Managers - Stockbrokers - Independent Financial Advisers - Corporate Finance Firms - Third Party Fund Raisers - Hedge Fund Managers - Banks - Private Equity Firms - Energy Market Participants


Contact us by email info@sturgeonventures.com
Sturgeon Ventures LLP is Authorised and Regulated with the Financial Services Authority
FRN # 452811

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