Regulation

We are fully regulated and authorised by the Financial Conduct Authority (‘FCA’). The FCA is an independent regulator, accountable to the Treasury, and through it, to Parliament. It is the role of the FCA to:

  • Secure an appropriate degree of protection for consumers.
  • Protect and enhance the integrity of the UK financial system.
  • Promote effective competition in the interests of consumers.

The FCA achieves these objectives by setting the rules that regulated firms, such as VentureFounders must follow and penalising firms that do not comply with these rules. These rules are intended to ensure that the FCA’s objectives are achieved and relate to, amongst other things:

  • Handling Client Money.
  • Protection of Client Data.
  • Treatment of Clients.
  • Complaints Handling.
  • Promoting Investments.
  • Conflicts of Interest.
  • Financial Crime.
  • Record Keeping.
  • Risk Management.
  • Reporting to the Regulator.
  • Training and Competence.

We have established systems and controls to help us comply with the FCA’s rules and are happy to answer any questions you might have regarding our regulatory status and the permissions we hold as a firm. Please contact us with any queries you have.