January 1, 2017
FINRA District 6 Committee: Melinda ("Mimi") LeGaye has been appointed as a small firm representative on FINRA's District 6 Committee.
Welcome to MGLU, the Professional Development business arm of MGL Consulting Corporation. We recognize that well trained, highly qualified and motivated people are the cornerstones of your future and we're here to help.
Through MGL Best-in-Class training programs and strategic relationships with a multitude of key educational vendors, we provide training programs to meet regulatory requirements within the dynamic financial services and insurance industries.
MGLU's comprehensive offerings are targeted to match your workplace initiatives, be they large or small. On the low end, we offer a variety of affordable and convenient web-based, print and classroom pre-licensing and CE and FE training.
Moving upscale, MGLU provides unique learning opportunities with high-end training and tailored pre-licensing courses for investment professionals. All of these can be customized to meet your firm's objectives with the flexibility to meet your busy schedule. Pre and post study calendars facilitate the learning experience.
Your firm's business is unique to you so why choose a "canned" program which does not address your specific operating needs. As an experienced compliance services provider in financial services and insurance, MGL can help you develop a top quality program which meets FINRA or state insurance guidelines to benefit your professional staff and enhance performance.
MGL's team of experienced professionals are available to assist in selecting course materials, administering courses, and providing you with a monitoring program to track completion and performance of the program by your staff.
Our years of experience conducting Needs Analysis and providing compliance services for financial services firms has proved invaluable in developing Firm Element programs for these businesses. On the insurance side, we work closely with the states regulatory bodies and professional CE vendors to ensure you have a wide selection of recognized courses to meet your development requirements. These focus areas include:
- Firm Element
Since 1996, MGL has conducted Needs Analysis and provided training plans for securities firms. There's no substitute for this "field" experience.
- Insurance Continuing Education/Licensing
With each state having unique prerequisites, our hand-picked, highly-qualified vendors provide students with guidance to specific state requirements and qualified course content.
- Securities Exam Prep
Exam prep can be done in either a self-study fashion through our vendors or we can provide you with a custom training program including a live classroom to meet your particular schedule.
MGLU offers a broad variety of educational courses to meet your firm's training objectives for professional advancement. Many of these qualify for insurance CE credit (check course listing for state availability), CFP credit for financial services professionals, and or CPE credits for accountants. Upon successful completion of many of these courses you will be able to download a certificate of completion as evidence you have successfully passed the course and earned credit for the applicable hours of study needed to meet your CE requirements.
To investigate which courses may be appropriate for your firm, please select from the following:
MGLU Customized Training
To supplement our public courses, we can provide pre-licensing training assistance and scheduling or higher level instruction that can be customized, aligned with your business objectives and delivered in a variety of multi-media platforms (virtual, live, print, online, etc.).
We can also provide you with current tracking information on these programs so you can monitor the progress and performance of all participants.
These programs are timely and keep you apprised of the ever-changing regulatory environment. Additionally, through MGL-sponsored Compliance Chats and live seminars you not only have access to our trainers but our senior compliance staff.
A sampling of our Professional Development offerings include:
- Beyond 27
- Compliance Issues for Investment Bankers
- Compliance Issues effecting Private Placements and Reg D Offerings
- Specialized Training for
- New Product Roll Outs
- Practice Management
- Specialized Job Training for
- WebCRD/IARD Administrators
- Operations Staff
- Sales Assistants
- Branch Managers
- Compliance Department Staff