Association of Professional Compliance Consultants

The body for compliance consultants who advise firms regulated in the UK.

The APCC is active in enhancing the professional standards of compliance consultants and is recognised as a trade body by the FCA and other regulators. This provides our members with significant benefits in terms of direct access to the Regulators as well as business leads.  The APCC often works in conjunction with the FCA to pilot or test new initiatives, and we also provide with valuable feedback on specific subjects as requested by them.

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02 Nov Sturgeon Ventures LLP

Posted at 12:37h in Uncategorised by

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.


Address
Unit D Heathmans House 19 Heathmans Road London Greater London
SW6 4TJ
T: 02031674625
E: sm@sturgeonventures.com
W: http://www.sturgeonventures.com
Services Offered
  • Bespoke Processes/Procedures
  • Business Development/mentoring
  • Compliance Auditing/Due Diligence
  • Compliance Support
  • Contract Services/Interim Locum Support
  • Financial Crime /AML
  • Marketing
  • Supervisory Support /Monitoring /Assessment
Firms Served
  • Discretionary Fund Managers
  • Investment Managers
  • Stockbrokers