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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.


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

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