An important update that was issued in October 2022 from the FCA on Trading names can be used by FCA Regulated Firms.
Has the Appointed Representative Firm model for Regulatory Hosting and incubation changed in the UK since BREXIT?
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 Principal’s permissions to different categories of Clients).
Company names, trading names and trade marks
Sturgeon Ventures, after noticing an increase in the number of Financial Conduct Authority (FCA) Regulated Firms which have adopted trading and/or registered company names which are the same as those of established companies, contacted Womble Bond Dickinson in order help identify and explain the possible legal implications.
The Tech Nation Report 2020 – Good news for UK Tech Sector
The Tech Nation Report 2020 has been released and is a very encouraging read for inward investment into the UK’s Tech Sector returning for its sixth year.
Comply Advantage named Europe’s 6th fastest growing FinTech company
Sturgeon Ventures are very excited to announce the news that Comply Advantage has been named:
FCA Discussion Paper – Transforming culture in financial services
The Financial Conduct Authority (FCA) has just published its first discussion paper for 2020, entitled, DP20/1: Transforming culture in financial services – Driving purposeful cultures.
FCA Statement – Corona virus and home working
4th March 2020.
In a statement released yesterday, the Financial Conduct Authority (FCA) explained that, in conjunction with the Bank of England and HM Treasury, they were working “closely” with the financial services sector to ensure it is responding effectively to the Covid-19 outbreak.
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.
FCA Review of Principal Firms – Investment Management
The FCA yesterday published its Review of principal firms in the investment management sector.
This report followed the FCA’s very detailed review of the investment management sector in 2017, a process involving most participants in the industry.
Chief Executive of the FCA speaks on the future of regulation
Andrew Bailey, Chief Executive of the FCA, delivered a speech on the the future of financial conduct regulation. Bloomberg, London, 23rd April 2019.