Regulatory Hosting

Regulatory Hosting Regulatory Incubator

Since 2000 we have incubated many start-up companies, including corporate finance boutiques, capital introduction companies and family office advisors. We have been a hosted solution for a number of different fund and managed account strategies, acting as the portfolio manager.

We assist through FCA application and continue with compliance monitoring and/or work with many known and reputable compliance advisory firms.

This paradigm shift for start-ups in financial services in the UK was created by Sturgeon Ventures in the year 2000, when the phrase Regulatory Incubator and now, Regulatory Umbrella began.  In later years, others in the industry coined the phrase Regulatory Hosting Platform.

A regulatory hosting platform provides an opportunity for investment advisors and portfolio managers to carry out regulated activities with appropriate FCA permissions prior to, “the client firm” obtaining direct authorisation in its own right. The platform provider (the host firm), the incubator, allows its regulatory permissions to be used by the client firm to enable that firm to carry investment advisory and/or marketing services whilst allowing the client firm to retain its own identity, ownership and control. Portfolio Managers sit within the regulated firm, and advisors also sit within the regulated firm. The client firm, using it’s own branding,  is set up as an Appointed Representative and can use permissions of the Principal Company to Arrange (introducing party A to party B) and give advice ONLY.  A Directly Authorised Firm solely has the Permission to be an investment manager.

Regulatory Hosting – What other costs should you budget for?

Whether you use us or another provider the other costs usually associated with becoming an Appointed Representative Firm or an Introducer Appointed Representative Firm will include professional indemnity cover (we can guide you in arranging this), regulatory exams if deemed appropriate, discounted fees to the Chartered Institute for Securities & Investments for CPD (Sturgeon is a Corporate Member), legal fees with regard to the actual set-up and structure of your firm and your product. There are annual FCA Fees dependent on your turnover.

We are totally transparent in our fee structure and will tell you at the outset all costs involved. There will not be hidden extras or nasty surprises.

For further information on our Regulatory Hosting solution, please visit our Regulatory Incubation page.


If you’d like further help or want to become an Appointed Representative working with an FCA Authorised Company, please contact Sturgeon Ventures:

E: hello@sturgeonventures.com

T: 020 3167 4625

 

 

Trust - Strugeon Ventures

Trust – More important than ever

Sturgeon Ventures have championed agile working and remote working since their inception in 1998. We are all used to agile working and one of the most important factors for successful

Start Up Compliance Consultancy Firm of the year UK

Sturgeon Ventures wins Start Up Compliance Consultancy Firm of the year UK

Sturgeon Ventures is pleased to announce their most recent win from Worldwide Financial Advisor Awards Magazine - Superior Lawyers 2020 as Start Up  Compliance Consultancy Firm of the year UK.

Start Up Compliance Consultancy Firm of the Year - UK

Sturgeon Ventures wins Start Up Compliance Consultancy Firm of the Year – UK

Sturgeon Ventures is pleased to announce that the Lawyers Worldwide Awards Magazine - Global Leading Lawyer 2020 -  has awarded them Start Up Compliance Consultancy Firm of the Year UK.

Sturgeon Ventures LLP became a Carbon Neutral Plus Organisation

Sturgeon Ventures – A Carbon Neutral Plus Organisation

Sturgeon Ventures LLP became a Carbon Neutral Plus Organisation on 14th July 2020.   This status is a strong demonstration of our true low carbon credentials. (more…)

Investment Management Advisory Firm

Investment Management Advisory Firm of the year – UK

Sturgeon Ventures are delighted to announce that they have been awarded Winner of the Global Advisory Experts Award for Investment Management Advisory Firm of the Year in the United Kingdom

Sturgeon Ventures Regulatory Umbrella

If Sturgeon did art exhibitions…

To add variety to our Team Meetings, this week we asked everyone to show their self-portrait and here they are.  Can you guess Who's Who? Visit our Team Page for

Sturgeon Ventures Compliance Consultancy 2020

Sturgeon Ventures – Compliance Consultancy of the year – UK

Leaders in Law recognised Sturgeon Ventures' expertise by awarding them their Compliance Consultancy of the Year - UK.  This award is part of its Global Awards Winners 2020 programme. (more…)

Possible Consequences of the Unauthorised use of Third Party Logos

Possible Consequences of the Unauthorised use of Third Party Logos

Sturgeon Ventures (Sturgeon) contacted Womble Bond Dickinson to discuss the possible consequences of the unauthorised use of third party logos in the advertising and promotion of a UK business or