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, sales practices, licensing and appointments, and supervisory systems for compliance with state regulations.

Our professionals will provide you with a confidential 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 rules that govern those aspects of your firm’s business.