Compliance Services

Sturgeon Compliance and MIFID IICompliance Consultancy Services to become directly FCA Authorised and Regulated

Sturgeon Compliance Services (SCS) was created just a few years ago to support the team at Sturgeon Ventures during the period of regulatory incubation for firms, and to prepare the applications and ongoing support after the firms’ breakaway.

Please see this link for the Pathway to direct authorisation flow chart – https://www.fca.org.uk/publication/documents/authorisations-flowchart.pdf

You can also read more on the FCA website about what authorisation involves for financial services and investment management firms – https://www.fca.org.uk/firms/authorisation.

We can assist in numerous areas and we also know where to get specialised services, such as SEC Advice, from those whom we have worked with and find invaluable, through our Regulatory Ecosystem.

We also work with many of the leading Compliance Consultancy companies in the United Kingdom and around the world, as Sturgeon Ventures is able to engage their services to work alongside SCS, and we manage these trusted client relationships whilst working with other consultancies. These consultancies also engage Controlled Function personnel of Sturgeon Ventures in order to satisfy ‘threshold conditions’ until their own staff are competent.

We provide a full range of consultancy advice, reviews and compliance support services to firms who have been incubatees of the Regulatory Incubator Ecosystem and are then independently regulated by the Financial Conduct Authority (FCA), the Prudential Regulation Authority  (PRA) and others. This includes entities seeking authorisation and firms and individuals who are uncertain about whether their activities need to be regulated. We can also support firms regulated by the Maltese Financial Services Authority (MFSA).

Sturgeon Compliance Servcies Awards

From time to time, Sturgeon Ventures recommends potential incubatees to other firms and then prepares their Authorisations. Alternatively we support another compliance consultancy, Sturgeon Ventures incubates and the other consultancy then prepares the FCA Application, taking the firm back for ongoing monitoring. We might also then put a NED into the firm, to assist with strategic development.

We have no competitors, only trusted partners and specialist advisors.

Our aim is to apply our experience, knowledge and skills to producing comprehensive and workable compliance solutions, tailored to the real-life business needs of our clients. We provide solutions, not simply manuals and procedures.

Increasingly regulatory requirements are dictated at the European level and this requires us to keep a close eye on European developments, that affect all jurisdictions. We follow the progress of the European financial services directives so that we can highlight potential issues to our clients well in advance. Many of our clients have international operations and we have strong links with a number of consultancies in other jurisdictions, particularly the US. This enables us to provide a joined up service that encompasses more than one regulatory regime.

Don’t hesitate to contact us to discuss how we can help you.

T: 0203 167 4625

E: hello@sturgeonventures.com


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Corporate Finance

Start-up Consultancy Services