Compliance
examinations are an important component of a firm’s compliance program.
Our firm has extensive experience providing on-site home office and branch
office compliance examinations. As part of our examination process our professionals
will review your firm’s books and records, investment policies and trading
practices, disclosure statements and business activities for compliance
with state 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 on the relevant state and SEC rules which govern those aspects of your firm’s business.