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How Sarah Whitehead found us,
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?
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
The new EU Directive 2019/1160 and Regulation 2019/1156 (the “Directive” and the “Regulation”) (together the “CBDF”) on the cross-border distribution of collective investment funds took effect on 2 August 2021. In an earlier update, we specifically examined the changes these made for UCITS and AIFs at the pre-marketing stage. In this update, we address the impact of the CBDF on the requirement to maintain local facilities across Member States.