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SBGREGULATORY.COM

SUTTON BOYCE GILKES - Regulatory Consulting Group Inc.

Experienced Guides in a Tough Regulatory Landscape

http://www.sbgregulatory.com/

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CONTACTS AT SBGREGULATORY.COM

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Experienced Guides in a Tough Regulatory Landscape
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SUTTON BOYCE GILKES - Regulatory Consulting Group Inc. | sbgregulatory.com Reviews

https://sbgregulatory.com

Experienced Guides in a Tough Regulatory Landscape

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1

Finance/Operations

http://www.sbgregulatory.com/financeoperations.html

Finance and operations: different subjects, different staff skill-set requirements, different IT requirements, different. But they are inseparable. What you require is determined by your registration and type of business; one solution does not fit all. Whether you are an investment dealer or an adviser you will have choices to make that will impact dramatically your staffing, capital and infrastructure requirements. Our principals have the experience to:. How much capital is enough? We will guide you.

2

Brian Sutton

http://www.sbgregulatory.com/about/brian-sutton.html

Brian Sutton, President and CEO. Telephone: 416.646.1958. Mobile: 416.938.2530. 2009 Sutton Boyce Gilkes - Regulatory Consulting Group Inc. - Site Design: Kiwibcreative.com.

3

About Us

http://www.sbgregulatory.com/about.html

Why work with us? 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;. We are the only firm on the Street with expertise in...

4

Larry Boyce

http://www.sbgregulatory.com/about/larry-boyce.html

Larry Boyce, Senior Vice-President. Larry has a MBA and is a Fellow of the Canadian Securities Institute. Larry's knowledge of the industry, its regulations, and his ability to offer a pragmatic solution to regulatory issues is well known. I would recommend him highly. Michael Sharpe, former Senior Vice-President, General Counsel and Chief Compliance Officer , Richardson Partners Financial Limited. Patrick B. McNenly, Managing Director, Compliance, Macquarie Capital Markets Canada Ltd.

5

Litigation Support

http://www.sbgregulatory.com/litigationsupport.html

The principals of SBG have extensive experience in civil and regulatory litigation. We can help you perform litigation triage, to determine when it is in your best interest to go to court and when to resolve the issue some other way. We have provided expert reports and evidence in civil and regulatory matters in Canada and the U.S. We have the right background to lend credibility to our expert evidence, and we also know how to prepare, testify and deal with cross-examination.

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