SGD Compliance Consulting
SGD Compliance Consulting works with firms registered to advise or deal in securities in Canada, as Portfolio Manager (PM), Investment Fund Manager (IFM) or Exempt Market Dealer (EMD).
We offer comprehensive compliance reviews, informed ongoing compliance support, current best practices advice and assistance with securities regulators, including regulatory examination preparation, responding to regulatory reports or acting as a compliance consultant or monitor on behalf of the securities regulators. We also offer assistance with registration as PM, IFM and/or EMD.
Our consultants have recent regulator experience combined with industry backgrounds, including registrant Chief Compliance Officer or Analyst experience in investment management firms. This unique industry and regulator background enables us to provide your firm with practical compliance knowledge, tools and oversight to carry out your governance, compliance and risk management functions.
We aim to limit our consultants in the number of client relationships in order to adequately know your business and support your operations. Our recommendations are based on a comprehensive analysis of your firm’s operations, including business model, client base and compliance risks.
Check us out: www.sgdcompliance.ca
Or get in touch:
Laura Bewick Howitt, CFA, CIPM, MBA