Breadth of Services — the Four Pillars
We have experience in all four of the critical areas of regulatory compliance: finance, operations, business conduct and registration.
These areas don’t operate in silos — either in the rules themselves or at the regulatory and self-regulatory agencies.They are critically intertwined:
- Operational effectiveness affects a firm’s ability to comply with financial and business conduct requirements;
- Firms must meet business conduct standards to be registered or approved to conduct particular types of business;
- Failure to identify and deal with business conduct and trading problems can have serious, sometimes fatal, consequences.
It’s no longer good enough just to know the rules. Regulators have been relying more and more on guidance documents and developing interpretations that act like rules even though they aren’t written down anywhere. We can help you find your way through these submerged requirements.
Even when the rules are plain, their application is often difficult. For example, you are required to identify and report transactions suspicious of money laundering, but how exactly do you spot one?
We keep track of and can help you with these regulatory subtleties.
We are the only firm on the Street with expertise in all these areas housed under one roof, and we add an extra dimension — experience in regulatory enforcement actions and securities-related litigation.We can help make these issues as painless as possible by helping you to make and implement critical decisions.
The principals of SBG have decades of experience working for and dealing with securities dealers, large and small, and regulatory organizations. We are well known in the industry and offer a diverse range of skills.
We know most of the answers; if we don’t know them, we know where to find them. What really makes dealing with regulators run smoothly can’t be found in the rule books:
- What do regulators want to see, and what do they not want to see, in applications, policies and procedures, records, etc?
- What standards do regulators apply when looking at how a firm complies with a particular regulation?
- How do regulators assess a novel situation?
We cut through the red tape and get results in hours or days rather than weeks or months.
SBG has a reputation among market participants, law firms and regulators for offering the best securities regulatory consulting service available in Canada. A brief conversation with one of our principals is all it takes to discover why SBG is your best choice for meeting regulatory challenges, so you can get your business plans moving ahead faster.