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Registration & Regulatory Audit Support

REGISTRATION

SGD Compliance provides registration services for firms looking to register as Portfolio Manager, Investment Fund Manager and Exempt Market Dealer.

 

  • Policies and Procedures

  • Know Your Client (KYC) , Investment Policy Statement (IPS) and Investment Management Agreement (IMA) forms

  • Relationship Disclosure Information

  • Conflict of Interest Disclosures 

 

We engage in detailed discussions with the regulator on your behalf where needed, to help steer you through the registration process.

REGULATORY AUDIT SUPPORT ​

SGD has substantial regulatory and industry experience. We provide the necessary support to your firm to:

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  • Prepare for a compliance interview

  • Respond to a compliance examination report

  • Prepare and compile regulatory submissions

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