Seonaid Mackenzie speaker at Hedge Fund Start-up Forum London 2014

Seonaid Mackenzie will be a headline speaker at the Hedge Fund Start-up Forum London 2014  on 7th May, on ‘Compliance & Regulation: Best Practice & Meeting Challenges’. The talk will include:

Read More

Sturgeon Ventures encouraged by Hedge Funds Flocking To Ireland

Sturgeon Ventures is amongst those encouraged by the growth of business in Dublin, with the latest views in AIFM Irish Solutions, reported by the Irish Funds Industry Association:

“According to information released from the Central Bank of Ireland (CBI) to the IFIA today, applications from 72 fund management firms are being processed at present, with 11 AIFMs already authorized by the Central Bank of Ireland. In recent weeks 47 applications have been received.”

Read the full article on HedgeCo.Net

Read More

FCA Crowdfunding Policy Statement

ADD TO YOUR T&C LOG YOU HAVE READ POLICY PS 14/4 NOTE: PROMOTION OF UNLISTED SHARES SHOULD NOW STATE THAT THEY ARE “NOT READILY REALISABLE SECURITY” NEW FCA TERM (PAGE 37) Friday 7th March 2014

Read More

Sturgeon Ventures headlines the Great British Private Investor Summit

Sturgeon Ventures LLP is a headline speaker at AngelNews’ Great British Private Investor Summit on March 18th where Seonaid Mackenzie will be interviewed by Modwenna Rees-Mogg on Governance Ethics and Culture. Joining Seonaid on the day are keynote speakers Rajat Malhotra and Kevin McCloud and the key players in the crowd funding, peer-to-peer lending and alternative finance market for panel debates and live pitches.

Read More

FCA 11 Principles of Business

The FCA  have 11 Principles of Business which are general statements of the main regulatory obligations that apply to firms that are regulated by them. The Principles set out in simple terms the high level standards that all firms must meet.
If your firm contravenes one or more of the Principles, it could face enforcement action, this could, for example, result in your firm’s authorisation being removed.
It is vital that you are aware of these Principles and ensure your firm implements them and continually reviews that these standards are being maintained.

Read More

AIFMD – National Private Placement Regime Solution from Sturgeon Ventures

The ‘patchwork quilt’ of regulatory requirements resulting from European Union member states exercising discretion under the Alternative Investment Fund Managers Directive is likely to deter many non-EU firms from operating in the market – but that need not be the case, according to Sturgeon Ventures, the regulatory incubator.
The ‘National Private Placement Regime’ enables fund managers to market hedge funds in the EU that are ineligible for passporting under the AIFMD, either because they originate outside the European Economic Area or they are managed by non-EEA managers. It is estimated that around 17 of the EU member states intend to allow some form of private placement, while others have even yet to announce their intentions. But the result is a patchwork of national treatments of the inward marketing of alternative investment funds.

Read More

AIFMD National Private Placement Regime (NPPR)

Sturgeon Ventures leading Regulatory Umbrella services provider launches a facility to register funds in the United Kingdom with the FCA (Financial Conduct Authority) and other jurisdictions under NPPR for AIF (s)

The AIFMD National Private Placement Regime (NPPR)
The AIFMD National Private Placement Regime (NPPR) is a mechanism to allow the marketing by Alternative Investment Fund Managers (AIFMs) of Alternative Investment Funds (AIFs) that are not allowed to be marketed under the AIFMD domestic marketing or passporting regimes. This principally relates to the marketing of non-EEA AIFs and AIFs managed by non-EEA AIFMs or by UK Small AIFMs. However, it also relates to the marketing of feeder AIFs where the master AIFM is a non-EEA AIFM or the master AIF is a non-EEA IF.

Read More

Regulatory Incubator Firm of the Year 2013 – Acquisition International Finance Award Winners

On 21st November Sturgeon Ventures LLP were awarded Regulatory Incubator Firm of the Year 2013 Award from The publishers of Acquisition International Magazine, in their 2013 Finance Awards.
PRESS RELEASE
2013 Finance Awards – Winners Announced

Read More

2013 Compliance Innovator of the Year

Seonaid Mackenzie, Managing Partner at Sturgeon Ventures LLP, is proud to have been named “Compliance Innovator of the Year” at the prestigious Thomson Reuters’ 2013 Compliance Awards.
Seonaid said:
“At Sturgeon Ventures we are always looking to innovate and bring the best solutions and highest levels of service to our clients.

Read More

Seonaid Mackenzie wins Compliance Innovator of the Year Award 2013

PRESS RELEASE

Thomson Reuters Accelus held their 9th Compliance Awards on 6th November 2013 at the Sheraton Park Lane in London’s Piccadilly. It was a packed out evening with the great and the good from the London world of regulation and compliance.
Seonaid Mackenzie, Founding Partner of Sturgeon Ventures LLP, won the 2013 Compliance Innovator of the Year Award, accepting her award to great cheers from her table consisting of some of the Sturgeon team as well as incubated clients.

Read More