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Our Senior Team

Laura Bewick Howitt, CFA, CIPM, MBA

Founder and Senior Regulatory Consultant

Laura has over 15 years of experience in the securities industry including regulatory audit experience from her various roles in the Market Regulation Division of the Alberta Securities Commission (ASC). Laura was involved in numerous compliance reviews and examinations at the ASC, including participating in Canadian Securities Administrators (CSA) and joint reviews with other jurisdictions. Prior to her work at the ASC, Laura was an Associate at a wealth management firm that services high-net-worth investors and a Mutual Fund Analyst at a global investment management organization.

Laura currently serves as a Board Member on the Canadian Advocacy Council.  She served as a Board Member and Secretary on the Canadian Investment Performance Committee (CIPC) and participated as a member on the Global Investment Performance Standards (GIPS) - Verification Oversight working group. Laura was also a Board Member on the Calgary CFA Society.

Kathy Ferguson, MBA

Senior Regulatory Consultant

Kathy has over 30 years of experience in the securities industry, both in industry and as a regulator.  Starting as a grain trader in the U.S. and then a stockbroker early in her career, Kathy moved into the securities regulatory environment in Alberta. She was an investigator for the Alberta Securities Commission for nine years and senior investigator with the Alberta Stock Exchange/CDNX for six years. She taught the Canadian Securities Course and has testified at numerous member conduct hearings and commission hearings. Kathy has been a CCO and held senior compliance positions, and understands the challenges of meeting myriad compliance hurdles in a competitive business environment.  

Prior to joining SGD Compliance in 2019, Kathy focused on senior level compliance and examination file reviews of Portfolio Managers, Investment Fund Managers and Exempt Market Dealers for the ASC for several years.
Kathy has been a guest speaker at many investor, registrant and industry seminars over the years, providing education on diverse subjects including market manipulation, registrant enforcement cases, marketing practices of registered firms, the Policies and Procedures Manual, and best practices for CCOs.

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