the DIRECTORY
Sturgeon Ventures LLP logo
Linstead House
9 Disraeli Road
London
SW15 2DR
T: 0203 167 4625
F: 0207 9654400
E:
www.sturgeonventures.com
No. of consultants: 9-10
Geographic area covered: London and the South West
  • London
  • South West

Sturgeon Ventures LLP

Sturgeon Ventures LLP is an investment management and corporate finance firm BiPru Limited License Firm and AIFM, who provide a Regulatory Incubation as the Pioneer we have incubated more than 100 firms as our Appointed Representatives. We work with Investment managers as an incubation host as well as for start up firms who want to advise as advisors/arrangers and for different reasons want to be incubated. We also offer a bank of locums both as investment advisors and investment managers for which we charge a monthly fee, useful for new applications. We can also sign off financial promotions under the Financial Promotions Order as we have Retail Permissions. We can operate Collective Investments Schemes (CIS). We carry out high level monitoring reviews, from compliance and risk based approach, as we understand business as well as compliance. We do conduct authorisations, but mainly for our incubated companies when both decide they are ready to break away. We have been a regulated firm since 1998 and can provide a list of current and past incubated clients and locum clients as well as pure compliance clients. There are also testimonials on our website. We have in the past worked with a number of compliance consultants as a solution particularly for our locums and incubation, and they have done the authorisation and often the on-going compliance monitoring. We also have an introducer arrangement with fees which can be discussed. We are all approved persons within the firm. We are members of the Compliance Forum at the Securities Institute, and have also done work with the Financial Skills Council.

Sturgeon Ventures has internal legal counsel and fund structuring expertise and solutions and can offer individuals already regulated to sit on investment committees and boards across EU Fund jurisdictions. This enables the diversity of the firm as Sturgeon Ventures is Female owned and one of the original signatures to the Women in Finance Charter set up in 2016 by the UK’s Treasury.

 

types of client firm served:

  • Authorised Professional Persons
  • Collective Investments Funds
  • Corporate Finance Firms
  • Energy Market Participants
  • Institutional investment management
  • Investment Banks
  • Private Client investment management
  • Retail investment management
  • Securities and Futures firms
  • Stockbrokers
  • Third party product providers

services offered:

  • Authorisation -FCA
  • Complaints Handling Reviews
  • Compliance advice
  • Compliance Support
  • Compliance Training
  • Documentation
  • Enforcement Action - Financial Services
  • Expert Witness - Financial Services
  • File Review
  • Health Checks
  • Money Laundering/Financial Crime Advice and Reviews
  • Regulatory Returns Assistance
  • Regulatory Updates