FCA Update on Trading Names for FCA Regulated Firms

An important update that was issued in October 2022 from the FCA on Trading names can be used by FCA Regulated Firms.

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Sturgeon Ventures highlights acronyms that may have passed you by in recent months – CTPs

Critical Third Parties (CTPs) is a term used regularly by Financial Services companies in relation to Outsourcing, continuing from their work on Operational Resilience last year.

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Sturgeon Ventures as a Signatory to HMT Women in Finance Charter update

In June 2022, New Financial hosted the virtual launch of the fifth Annual Review of the HMT Women in Finance Charter. More than 400 people from across the Charter signatory network joined the session live online.

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Sturgeon Ventures wins Leading Regulated Incubation Services of the Year 2022

Sturgeon Ventures are delighted to announce that they have been awarded the Leading Regulated Incubation Services of the Year 2022 award from Acquisition International Magazine.

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Seonaid and Stephen from Sturgeon walk the Thames Path to fund raise for the RNLI

Thank you to everyone for donating to the Sturgeon Ventures/Aquapac Thames Walk Challenge for the RNLI bringing awareness to London of the River Thames RNLI Stations.

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Discover what sets leading Regulatory Incubator apart

Sturgeon Ventures, the leading regulatory incubator, and regulatory host in the Wholesale Institutional Financial Services Industry – what sets Sturgeon apart from the newer competitors?

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Sturgeon Ventures discusses the merits of the Chartered Institute of Securities and Investments learning from the last 30 years to face the next following Nikhil Rathi’s Speech’s highlights

Nikhil Rathi Chief Executive of the Financial Conduct Authority (FCA)  delivered a speech to the members at the CISI 30th Anniversary Dinner last month, highlighting many important points for the industry to be aware of.

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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.

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Correct use of the FCA Logo

FCA Logo is never to be used in branding by FCA Regulated Firms, their Appointed Representative Firms or any other associated company.

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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.

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