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.
As securities regulators take a more principles-based approach, it will become easier to know the rules, but much more difficult to determine how best to comply. For example, the laws and regulations about money laundering are fairly plain — but exactly how do you spot a suspicious transaction?
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.
- Acquisition of Performa Financial
- Design, structure and registration of optionsXpress
- Acquisition of KBSH Capital Management
- Design, structure and registration of Genuity Capital Markets
- Initial public offering for GMP Securities
- Design, structure and registration of First Leaside Securities