We help to maintain the success and growth of your business through strengthening and supporting your supervisory systems. MGL will assist you with the preparation of your firm’s written supervisory procedures and code of ethics that sets forth the procedures that will be instituted by your firm in the operation of its investment advisory business. These supervisory procedures are an integral part of your firm's compliance with the SEC and various state securities laws.
In preparing supervisory procedures for our investment advisory clients, MGL works with the principals of each firm to determine supervisory responsibilities, the frequency and complexity of supervisory reviews to be conducted, and the types of advisory business to be conducted by client's firm. MGL will work with your firm as well to develop written supervisory procedures that are specific to your firm’s business and are not "canned".