SGD Compliance
Consulting
CUSTOMIZED COMPLIANCE SERVICES
SGD Compliance provides your firm with compliance knowledge, tools and oversight to carry out your governance, compliance and risk management functions. Our recommendations are based on a comprehensive analysis of your firm's operations, including business model, client base and compliance risks.
A Customized Approach
We assist with developing and implementing compliance policy improvements and risk mitigations.
We work with Canadian investment firms that are registered to advise or deal in securities in the categories of Portfolio Manager (PM), Investment Fund Manager (IFM) and Exempt Market Dealer (EMD).
We customize our approach and tools to your firm’s unique needs to assist your firm to effectively meet regulatory compliance obligations and to simplify the compliance function.
SGD Compliance provides guidance on your firm’s compliance framework with a focus on achieving operational efficiencies wherever possible.
Our industry and regulatory backgrounds provide for effective policies on:
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Governance and compliance supervision
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Conflicts of interest
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Portfolio management and trading reconciliations
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Know your client, know your product and due diligence
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Investment suitability
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Return calculation, performance measurement and presentation
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Client account reporting
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Financial reporting and regulatory filings
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Referral arrangements
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Business continuity planning
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Information security including cybersecurity
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Marketing and client communications
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Dealing with senior and vulnerable clients
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Anti-money laundering