Welcome to Sturgeon Ventures

Sturgeon Ventures is the most established Regulatory Incubator and Pioneer of Wholesale/Institutional Solutions for Regulatory Incubation having coined the phrase in 2001.

We are a creative solutions provider for start-ups and those needing interim solutions and/or overseas more established firms moving to the UK.

A strong and experienced regulatory umbrella team brings entrepreneurial flare to each organisation’s goals.

Founded in 1998, Sturgeon Ventures is Authorised and Regulated by the FCA and a
Registered Investment Advisor with the SEC.

Sturgeon assist with direct FCA applications in our sweet spots. Firms can continue with on-going compliance monitoring assisted by our Reg Tech and/or we partner with many known and reputable compliance advisory firms whom we trust.

Why Sturgeon?

A Sturgeon fish starts the size of a mustard seed, grows to 12 feet in length; weighs up to a tonne, lives for 100+ years – an amazing metaphor for growth. Sturgeon fish are bottom feeders, their cat like whiskers taste their food before they bite, the ultimate due diligence. Sturgeon are one of the oldest fish species in the world their evolution traceable to the early Triassic Period nearly 250 million years ago – remaining relatively unchanged since the earliest fossil records – we believe in long term authentic relationships.

Until 2003 the Appointed Representative was used by IFAs and Insurance companies to promote their products to Ordinary Retail Clients only.

Sturgeon pioneered the use of the Wholesale Appointed Representative.

20 Years of Stories from some of
Sturgeon's clients

How Sarah Whitehead found us,
now Head of Legal and Compliance

What Sets Us Apart?

Privately Owned Since 1998
Diversity over 50% Female Owned
Women in Finance Charter
Pioneer of Regulatory Incubation
Established as an EuVeca Since 2014
Member of the Stewardship Code

Seonaid Speaks To Thompson Reuters

The benefits of Regulatory Hosting for Emerging Managers and Advisors

Sturgeon Compliance Services Ltd – UK – Compliance Firm of the Year

Sturgeon Compliance Services Ltd is delighted to announce that it has won the ACQ5 Law Awards 2020 category for UK- Compliance Firm of the Year. Sturgeon Compliance Services (SCS) was

women in compliance awards

Women In Compliance Awards – Shortlisted

Seonaid Mackenzie of Sturgeon Ventures has been shortlisted for the Lifetime Achievement Award for Contribution to the Compliance Community. (more…)

Regulatory Incubation 2020 Sturgeon Ventures

ACQ5 Country Awards 2020 for Sturgeon Ventures

For the fourth year running Sturgeon Ventures wins Regulatory Incubator 2020 by ACQ. Sturgeon Ventures are the pioneer of Regulatory Incubation, having coined the phrase in 2001. (more…)

Finnancial Innovator 2020

Financial Innovator of the year 2020 for Sturgeon Compliance

Sturgeon Compliance has been recognised by the M&A annual awards programme winning the Financial Innovator 2020 award. (more…)

Best Regulatory Incubator 2020

Best Regulatory Incubator 2020 Award

Sturgeon are pleased to announce that they have been awarded the M&A Global Awards Best Regulatory Incubator 2020. (more…)

Sturgeon Ventures CISI Corporate Supporter

Sturgeon Ventures seals CISI Corporate Supporter Partnership

Read on for a recent press release from the Chartered Institute for Securities and Investment (CISI) on Sturgeon’s corporate supporter partnership. (more…)

M&A Awards Winner Compliance Consulting

SEC proposes to update accredited investor definition to increase access to investment

A press release was issued on 18th December 2019 by SEC on their proposal to update the Accredited Investor Definition in order to increase access to investments. (more…)

Seonaid Mackenzie comments on FCA SMCR REGIME

Seonaid Mackenzie comments on FCA SMCR Regime

Seonaid Mackenzie, Managing Partner of Sturgeon Ventures, commented in Hedgeweek on the FCA’s Senior Managers & Certification Regime. The SM&CR is mainly concerned with how those businesses within the financial