The FCA’s 11 Principles for Regulated Firms – Core Values

Financial Services Start-ups – Ensure you go to a Regulatory Hosting Firm with Integrity, the 1st FCA Principle.

Sturgeon Ventures having incubated people and firms for the past 20 years, prides its pioneered model of the Regulatory Incubator on focusing on the FCA’s 11 Principles at its core.

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FCA Asset Management Hub

The FCA Asset Manager Authorisation Hub was launched in October 2017, has a number of new authorisation case workers and a dedicated portal to assist authorisation as an asset manager.  Since 1999, Sturgeon Ventures has been here to support new managers during the Incubation Phase where companies work towards being ready for direct authorisation. This phase includes expanding assets under management, building internal back, front and middle office.

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Women in Compliance Awards 2018 – Nomination

Seonaid Mackenzie has been shortlisted in the Women in Compliance Awards 2018 within the “The Mentor Award of the Year for Advancement of Women in Compliance” category.
The award ceremony takes place on 22nd March 2018 and celebrates the achievements of female compliance professionals in the changing and dynamic Financial Services Industry, across multi-national companies and in all sectors that have Compliance Departments.

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2018 – MIFID II and PRIIPS for the Fund Industry

The FCA has had a busy Christmas as the Financial Industry focused on launching many changes including MIFID II and PRIIPS for the Fund Industry.

Many firms took this change as a reason to close their UK FCA Regulated Firm and move to the EU now ahead of BREXIT or considering closing their own directly authorised firm and become an Appointed Representative of another Authorised FCA Firm.

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Success for RoboCap

Sturgeon Ventures is delighted to read of RoboCap’s success in CityWire’s recent article on “Five alternatives to the Pictet-Robotics fund”.
Jonathan Cohen, Managing Partner of Robocap LLP  [Sturgeon Ventures Designated Portfolio Manager] was, approved by the FCA within Sturgeon Ventures, on 22nd December 2015.

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Sturgeon Ventures Supports The Project Harar 2018 Surgical Mission

Sturgeon Ventures Pioneer of Regulatory Incubation Sponsors 3,000 Eggs.

Project Harar was set up to help those people, predominantly children, living in rural Ethopia affected by facial deformities, be it a cleft lip, palate, animal attack or tumour, and are unable to access medical support.

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MIFID II – Out of the Box Thinking Needed

CONFLICTS OF INTEREST UNDER MIFID II – an enhanced way of thinking… “potential conflicts” let’s help each other build a true Regulatory Ecosystem.

Conflicts of interest is an aspect that is – although necessary for investment firms’ compliance processes – often considered after the event. It is hard to remember in the heat of the action and because it is not always easy to define, it is not the first thing that a commercial team will think about.

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The FCA Regulatory Sandbox

Venture Catalysts are not just money invested, but people and time.  When Sturgeon Ventures was first born in 1998, it branded itself as a Venture Catalyst, it incubated people and companies across a number of industries; in 2000 the focus began towards financial services and the regulatory incubator was born in early 2000.

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ACQ Global Awards – Four Wins for Sturgeon Ventures

Sturgeon Ventures are delighted to announce that they have won 4 times in the ACQ Global Awards, across multiple areas.
1 Europe – Regulatory Hosting Platform of the Year
2 UK – Game Changer of the Year, Seonaid Mackenzie
3 UK – Family Office Wealth Advisor of the Year
4 International – Business Strategy Consultancy of the Year

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M&A Awards 2017 – Two Wins for Sturgeon Ventures

Sturgeon Ventures are delighted to announce they have won twice at the M&A Awards 2017.
The awards are:
1 UK Compliance Consultancy – Advice on Start-up Issues
2 UK Advisor of the Year – Seonaid Mackenzie
…”Now in it’s fifth year, the Finance Monthly M&A Awards celebrate firms and individuals across the globe who have promoted excellence in their field….”

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