Compliance
examinations are an important component of a firm's compliance program.
Our firm has extensive experience providing on-site home office,
branch office and AML compliance examinations. As part of our examination
process our professionals will review your firm's books and records, sales
and trading practices, markup practices, underwriting and private placement
activities for compliance
with FINRA and SEC regulations. Our professionals will provide you with a written report identifying any deficiencies noted during our examination, as well as provide you with corrective actions that your firm can take to correct those deficiencies. At MGL, we believe a compliance examination should be more than just an inspection process, we believe it should also be an educational process for our clients' staff. Therefore, where a deficiency has been detected, our professionals will work with your staff during the examination to educate your staff the relevant NASD and SEC rules that govern those aspects of your firm's business.