Registration & Regulatory Audit Support
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:
Prepare for a compliance interview
Respond to a compliance examination report
Prepare and compile regulatory submissions