Whats New:
May 16th, 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
Ivan A. Golac , Vice President of International Services at MGL Consulting LLC, has more than 22 years experience in the financial services industry, encompassing securities, regulatory and brokerage compliance in the United States and Latin America. Mr. Golac’s areas of expertise include securities regulation with FINRA and the SEC, including a broad knowledge of the securities industry in Latin America.
Mr. Golac’s responsibilities include consulting with clients regarding the structure and documentation of supervisory systems, procedures, AML programs, and business continuity plans in both the United States and abroad. He also works with international clients to resolve issues related to opening new offices in the United States, and conducts compliance reviews of broker/dealer operations and trading systems, both domestically and internationally.
Before joining MGL, Mr. Golac served as Vice President/Compliance with the Stanford Financial Group, a major, full-service regional brokerage firm. His responsibilities included writing and implementing policies, processes and procedures, and conducting field examinations and audits for all branches. Mr. Golac was also the AML Compliance Officer for Coins and Bullions, an affiliated company of the Stanford Financial Group.
Mr. Golac also served as Compliance Examiner with FINRA (formerly NASD). While at FINRA, he conducted broker/dealer firms’ field examinations and audits with respect to securities laws and regulations compliance. He also monitored and analyzed financial and operational conditions of broker/dealer firms.
Prior to the Stanford Financial Group and FINRA, Mr. Golac was with the Comision Nacional de Valores de Bolivia (CNV) (Bolivian National Securities Commission) for 10 years. During his tenure, he became the President of the CNV; a government entity which developed and regulated the Capital Market in Bolivia.
Because of Mr. Golac’s extensive experience in the industry, he has developed an in-depth knowledge of the following compliance areas: exam audits, NASD Liaison Program, NASD Manual, NASD Rule Filing Status Report, OFAC Research Tool, Anti-Money Laundering templates, AML Customer Identification Program, Mutual Fund Analyzer, Business Continuity Planning, as well as others.
Mr. Golac holds a Master in Finance from the American University in Washington D.C. and a Bachelor of Economics from the University Mayor de San Andres in La Paz, Bolivia. He also holds the Series 6, 7, 24, 53, 63, 66, 79, 87 and General Line Insurance licenses.