Experienced Guides in a Tough Regulatory Landscape

Sutton Boyce Gilkes Regulatory Consulting Group Inc. (SBG) is an independent firm providing support to firms in the securities and investment management industry. Our expertise covers all regulatory requirements and processes: finance, operations, business conduct, compliance, registration and enforcement.

SBG knows the Canadian regulatory environment like no other firm. We offer the right combination of knowledge, practical expertise and independence to handle your regulatory needs as quickly and thoroughly as possible. Read More>

Breadth of Services:

We have experience in all critical areas of regulatory compliance and know how they interact. Read More>

Experience:

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. Read More>

Registration Reform:

National Instrument 31-103 and related IIROC rule changes became effective September 28, 2009 with implementation dates spread over the next two years. It will profoundly affect not only registration requirements, but how you do your business. Read More>

SBG releases regular commentaries presenting our unique, informed perspective on issues facing members of the investment community. Our latest issue deals with a Government of Canada Consultation Paper on proposed amendments to AML customer due diligence regulations. To subscribe to these commentaries sign up below. For past commentaries, click here >>.