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.
A little education for Lead Generators who are currently advertising their Lead Services on Google; it may lead to other online advertisers to take a similar stance. Google in July has made it mandatory that Firms that Advertise Financial Services must be either directly FCA Approved or be an Appointed Representative Firm of a Principal […]
Sturgeon Ventures now has a Tied Agent MiFID-Passporting Solution in Germany, to add to its other EEA Solutions, as part of its regulatory-ecosystem.
Sturgeon Ventures LLP created and pioneered the wholesale Appointed Representative Firm in the early 2000s with the innovation of the market leading and award-winning, institutional Regulatory Incubation for starts ups and for overseas companies coming to the UK who wanted to set up a 1–2-person office, for example, to Arrange or Advise (depending on the […]
Crosslight is Sturgeon Ventures’ chosen charity and we are pleased to share their Impact Report for 2020/21.
Last week Nikhil Rathi, the FCA’s CEO, made a speech at the launch of the HM Treasury Women in Finance Charter Annual Review on why diversity and inclusion are regulatory issues.
The consequences of the UK leaving the EU need to be considered, in particular the impact on full-scope UK AIFMs that became non-EEA AIFMs on Brexit.
Sturgeon Ventures are pleased to announce that they have won Compliance Consultancy Firm of the Year – UK for the recent Corporate INTL awards.