Broker Dealer Services
MGL provides comprehensive compliance and risk management solutions to broker dealers to enhance their compliance programs and reduce their regulatory exposure.
Whats New:
January 11, 2012
MGL Consulting has pushed out a new compliance alert, click below to learn more
Current News:
January 10, 2012
MGL Responds to Bloomberg Businessweek News Article. To read the full article click here.
Recent Events:
November 1, 2011
MGL supports NSCP 2011 Fall Conference with Sponsorship!
Held: October 16-18, 2011 in Baltimore, MD
MGL offers a full range of compliance and risk management services, designed to fit a wide range of broker/dealer’s needs, from the small boutique firm engaged in private placements, investment banking or wholesaling activities, to a full service retail brokerage firm conducting business on-shore or off-shore, to a full service clearing firm. Our team of dedicated professionals bring more than 300 years combined industry and regulatory experience to your finger tips, encompassing hands on senior regulatory, compliance, investigative, accounting, risk management, legal and litigation consulting experience to help you manage both your firm’s regulatory risk and your budget needs.