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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.
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Policies and Procedures
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Know Your Client (KYC) , Investment Policy Statement (IPS) and Investment Management Agreement (IMA) forms
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Relationship Disclosure Information
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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
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Respond to a compliance examination report
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Prepare and compile regulatory submissions
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