Women In Compliance Awards – Shortlisted

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

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.

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.

Best Regulatory Incubator 2020 Award

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

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.

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.

Seonaid Mackenzie comments on FCA SMCR Regime in Hedgeweek

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 services are run and managed.

Sturgeon Ventures Commitment to the Women in Finance Charter

Sturgeon Ventures are proud to have been signed up to the Women in Finance Charter since July 2016.

Agile working for successful teams

Sturgeon Ventures, the Pioneer of Regulatory Hosting in the UK, has throughout its 21-year history championed a successful agile team. Seonaid Mackenzie, Founding Partner of Sturgeon, is a strong advocate of agile working and leadership articles such as this one from McKinsey.

Sturgeon Ventures LLP Charity of 2019

We would like to feature our Charity of the Year, to share the work of people who help those in the City we work in. On the basis that you all work in Financial Services, you take it for granted that you have the skills to manage your personal finances – simply paying household bills. But many are never taught this life skill.

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FCA proposes reform of the UK listing regime: a single segment for equity shares

On 26 May 2022, the Financial Conduct Authority (the “FCA”) published a discussion paper (DP22/2), setting out its response to feedback received to consultation paper 21/21: Primary Markets Effectiveness Review and seeking views on further reform of the UK listing regime in order to promote competitiveness and boost growth.

ESMA Focus on Reverse Solicitation

In early January 2022 ESMA released a copy of a letter dated 17th December 2021 (the “Letter”) which it had sent to the European Commission in relation to their request for information relating to the practice of reverse solicitation.

EU’s New Cross-Border Distribution Framework – Local Facilities in Member States

The new EU Directive 2019/1160 and Regulation 2019/1156 (the “Directive” and the “Regulation”) (together the “CBDF”) on the cross-border distribution of collective investment funds took effect on 2 August 2021. In an earlier update, we specifically examined the changes these made for UCITS and AIFs at the pre-marketing stage. In this update, we address the impact of the CBDF on the requirement to maintain local facilities across Member States.

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Author: Sturgeon Ventures