Regulatory Training

Shannon Augustby Shannon August
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In Products

We provide up-to-date private narrated training for your employees that can delivered remotely.

Training modules are tailored to your firm’s business model and policies.

​As new requirements pop up and existing guidance changes, we are continually revising and adding to our training library. Training sessions include Anti-Money Laundering, Know Your Client (KYC) /Know Your Product (KYP) and Suitability, Marketing, Privacy, Anti-Spam Legislation and Dealing with Senior and Vulnerable Clients.

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