At
MGL Consulting Corporation, we are committed to providing our customers
with innovative compliance solutions and tools. Through a combination
of strategic relationships and our own in-house development team we are
pleased to make available these compliance tools.
| MGLU.com, Ltd. | |||||||||||
| MGLU.com
specializes in providing affordable, convenient, and up-to-date Web
based pre-licensing and compliance based CE training for financial services professionals. Choose from a variety of courses to satisfy all of your training needs, including:
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| MGL
AML Audit Tool |
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MGL AML Audit Tool is a web-based guide developed for use by small
to medium size broker/dealers to complete an analysis of their Anti-Money
Laundering Programs, as required by NASD Conduct Rule 3011. Typical
users include compliance and management professionals responsible
for the testing of broker/dealer’s Anti-Money Laundering Program.
Key features of the tool include:
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Strategic Partner Tools:
BrokerAudit - Finally a tool has been developed which will assist your firm to conduct automated regular and rigorous reviews, headache free, with a reduced cost of compliance and supervision to the firm! BrokerAudit automates the daily compliance and supervisory function, analyzing client transaction data and holdings to present supervisors with suitability-based alerts that identify issues for immediate attention and resolution. BrokerAudit is designed to assist in the complex task of supervising financial services representatives by providing immediate compliance exception reports generated by BrokerAudit's proprietary software, customized to match your compliance standards. For more information, click here. Broker Audit Details |
Complinet is a leading supplier of premium information services for the financial services and technology sectors. You have seen their news headlines on our web site and now you too can receive the same morning messages MGL Consulting Corporation's professionals receive each day from their service Compliance North America advising you of recent regulatory developments affecting the financial services community. Complinet's North American and International services can help you to stay on top of the ever-expanding compliance issues affecting broker/dealers, investment advisors, banks and insurance companies, without the nagging guilt associated with unread publications which continue to stack up on your desk. For more information, click here.  |