Sturgeon Ventures and Regulatory Umbrella Services

Regulatory Umbrella Services

Our Regulatory Umbrella Services are aimed at start-ups that offer financial services. Without this expertise, it can be tough to become established quickly enough in the UK to develop a profitable business.

The FCA (Financial Conduct Authority) has created a set of regulations that are rigorous and exacting, and quite rightly so. When you are managing someone else’s wealth, you have to hold yourself to high standards. But that doesn’t make it easy. Meeting those standards takes time and a large amount of administration.

If you’re a start-up you may not have either of these in abundance. And if you’re not careful, you could find yourself putting all your energy into meeting regulatory requirements, rather than creating profit for your business.

That is where we come in.

We have been helping young businesses enter the financial services sector in the UK since 1998, and it is that depth of experience that informs all our client relationships.

This experience is perhaps best exemplified in our Regulatory Umbrella work. Our main aim is to help start-ups and young businesses get to market as quickly and as professionally as possible.

Support that gives you room to breathe.

A key feature of our Regulatory Umbrella work is the support

At an institutional level, we provide robust support through operations and technical strands. The process involved in applying for FCA regulation is complex and time-consuming, and needs to be followed rigorously. We can help companies do this by taking the reins and guiding them towards compliance, leaving businesses to get on with what they do best: create revenue.

We help with documentation, training and strategy development for FCA approval.  When the application goes through, you’ll know it has been developed and processed professionally.

Freeing up your valuable resources

We work with hedge funds, private wealth management companies and advisers, to name but a few. All our clients want to trade in investments while they wait for full FCA compliance, and we create the conditions that allow them to do so.

The key benefit here is that you gain the opportunity of redirecting resources into other aspects of your business. Rather than spending time and energy, as well as money, in training employees to work on compliance issues, a good umbrella framework removes the need to use your organisation’s precious resources.

And it’s easier too. The FCA compliance materials can be complex and even appear baffling. We will ensure that they are explained and managed with the minimum of jargon, so you get a plain speaking, common sense service. This removes huge barriers to progress, because again the resources you save can be deployed elsewhere.

For regulatory hosting that helps you get to market quickly, with full compliance and confidence, turn to us. We incubate financial services companies that want to hit the ground running. From helping to write your business plan so that it meets FCA requirements, to recruiting staff members that will help you meet your business goals; our Regulatory Umbrella service gives you the expertise and confidence to enter the UK market quickly and effectively.



T: 020 3167 4625

Other Services

Regulatory Incubation

FCA Authorisation Service

Sturgeon Academy