ABOUT US
Compliance Support Built Around Your Firm
Founded in 2017, SGD Compliance Consulting is a Canadian compliance consulting firm, intentionally structured to provide responsive and personalized support.
We limit the number of firms we work with so our senior consultants can remain involved in each engagement, develop a strong understanding of each client’s business, and provide consistent, practical regulatory guidance.
Our senior consultants bring complementary regulatory and industry experience, with a focus on sound judgment and solutions that can be implemented within your firm’s existing operations.
Since its founding, SGD has supported registered firms across a wide range of compliance and regulatory matters, including acting as a consultant and monitor under regulatory terms and conditions. Our team has also been invited to share its experience and perspectives through industry and regulatory forums.
Our Senior Team
Laura Bewick Howitt, CFA, CIPM, MBA
Founder and Senior Regulatory Consultant
Laura is the founder of SGD Compliance Consulting and has more than 20 years of experience in the Canadian securities industry, spanning regulation, compliance, investment management and operations.
Her regulatory experience includes roles within the Market Regulation Division of the Alberta Securities Commission, where she participated in policy initiatives, drafting guidance, providing registrant education, and in compliance examinations, including Senior level oversight, CSA and multi-jurisdictional reviews. Prior to her work at the ASC, Laura was an Associate at UBS Wealth Management Canada, and a Mutual Fund Analyst at Franklin Templeton Investments.
Laura has also contributed to the broader investment industry through board and committee involvement, including the Canadian Advocacy Council, the Canadian Investment Performance Committee, the CFA Institute Education Advisory Committee and the Global Investment Performance Standards (GIPS) Verification Oversight Working Group.
Outside of SGD, Laura is the founder of FINANCIAL Kid Academy, a financial education initiative focused on helping children and families build practical money knowledge and confidence.
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.