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.

@Sturgeon Ventures LLP the award winning Pioneer of Regulatory Incubation in the UK, has incubated people and ventures since inception in 1998. Sturgeon Ventures coined the phrases #Regulatory Incubation and #Regulatory Umbrella in 2000,  being the first firm to develop the Wholesale Appointed Representative Firm model for Advising and Arranging in the early 2000s adopting the model which was originally for Insurance Companies to build marketing teams selling their products and Independent Financial Advisors giving advice to Retail Customers.  Sturgeon Ventures has offered portfolio management solutions for emerging managers with UK, EEA and Non-EEA Funds, both liquid and illiquid across multiple asset classes including #hedgefunds and #private equity, and Single Managed Accounts for more than two decades as part of its #regulatoryhosting solution.

@Sturgeon Ventures is  SEC Regulated as an RIA so that its emerging and established managers based in the UK can have access to accredited investors in the USA.

Brexit Solutions

The UK Left the EU as of January 1st 2021 and as a result UK Regulated Firms and their Appointed Representative Firms no longer can avail themselves of the #EU Marketing Passport. There are few countries in the #EEA which are allowing their own Tied Agents to avail themselves of the EU Cross Border Marketing for both Fund Marketing and Corporate Finance Advisors. Malta, Portugal and Germany have local regulated Principals with  Tied Agents that have British Owners but local registered persons supporting emerging sister UK Companies. All EEA Countries Principal Regulated Firms can have Tied Agents but the local regulators do not allow them all to use the Cross Border Passport. The Tied Agent Firm in the EEA is the same model as the UK’s Appointed Representative Firm, which can advise and arrange under its own brand name with local personnel under the supervision of the locally regulated Principal Firm.

Sturgeon Ventures is a Signatory of the UN PRI, a Signatory of the Women’s Charter in Finance and maintains its charter pledge that at least 50% of its management team are women; and the founder continues to mentor women.

We encourage all readers to visit and spend just a few minutes our Sturgeon Stories page and listen to stories of some of our ventures……maybe your venture can also become one of our stories.

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Client testimonials

Appointed representative services

History of Sturgeon Ventures