Complaints Handling Summary

The following complaints handling summary relates to how Sturgeon Ventures LLP (“Sturgeon”) will approach; (1) a complaint from an “eligible complainant” in connection with its AIF management services; and (2) a “MiFID complaint”.

AIF Management Services

Sturgeon is appointed as the investment manager to several closed ended Alternative Investment Funds (AIFs), with certain responsibilities for portfolio management (“AIF management services”).  

If you are an investor in the funds managed by Sturgeon, you should contact us immediately if you are dissatisfied with any aspect of the AIF management services provided to you by Sturgeon. Please write to the Sturgeon Compliance Officer, Sarah Whitehead sw@sturgeonventures.com. We take every complaint seriously and your complaint will be handled in accordance with the relevant FCA rules. It is Sturgeon’s policy to aim to resolve every complaint fairly and in a timely manner. Sturgeon has a written internal complaint handling policy, as required by the FCA Rules. You can obtain a copy of this on request, and in the event you should have cause for complaint about the AIF management services which Sturgeon provides to you, a copy of the policy will be sent to you.

In the event we fail to resolve a complaint to your satisfaction, or if we fail to do so within eight weeks of receiving your complaint, you may also be entitled to refer your complaint to the Financial Ombudsman Service at Exchange Tower, Harbour Exchange Square, London, E14 9SR. Telephone: 0800 023 4567 or at www.financial-ombudsman.org.uk.

MiFID Business

A “MiFID complaint” is defined by the FCA, and relates to the Firm’s MiFID business which for Sturgeon is the provision of investment services, and where relevant, ancillary services.  A complainant for the purposes of Sturgeons’ MiFID business includes a “client”, also defined in MiFID, which includes professional clients.

You should contact us if there is any aspect of the provision of investment services provided by Sturgeon that you are not satisfied with. Please write to the Sturgeon Compliance Officer, Sarah Whitehead, sw@sturgeonventures.com. We take every MiFID complaint seriously and your complaint will be handled in accordance with the relevant FCA rules. Sturgeon has a written complaints handling policy, a copy of which is available upon request.

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