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SGD Compliance reviews your firm’s compliance framework and provides our guidance and recommendations, with a focus on achieving operational efficiencies wherever possible.

Our recommendations are based on a comprehensive analysis of your firm's operations, including your business model, client base and compliance risks. 

We provide compliance reviews for Portfolio Managers (PMs), Investment Fund Managers (IFMs) and Exempt Market Dealers (EMDs) to:

  • Prepare for a securities commission compliance review

  • ​Identify compliance gaps and solutions

  • Use the findings to implement changes

  • Report to the Board of Directors on the state of compliance at the firm

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