Sturgeon Ventures, the leading regulatory incubator, and regulatory host in the Wholesale Institutional Financial Services Industry – what sets Sturgeon apart from the newer competitors?
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.
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.
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.
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.
Remote-Hybrid Working Guidance from the FCA
For information – https://www.fca.org.uk/firms/remote-hybrid-working-expectations
The FCA Released its Guidance for Remote-Hybrid Working Expectations in October 2021 and updated it again on 18th January 2022.
Best Regulatory Incubation Solutions Provider 2021 – Sturgeon Ventures
Sturgeon Ventures is pleased to announce that they have won Best Regulatory Incubation Solutions Provider 2021 from SME News – Greater London Awards.
EU’s New Cross-Border Distribution Framework – Local Facilities in Member States
A legal update from Clerkin Lynch LLP and Sturgeon Ventures LLP.
Google and firms that advertise financial services
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 Firm, by 30th August 2021
Sturgeon Ventures now has a Tied Agent MiFID Passporting Solution in Germany for its Appointed Representatives and Directly Authorised Firms
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.