Our team of talented and dedicated people are always available to lend their expertise to provide your firm with, insight and direction, to navigate today’s turbulent regulatory environment.
Since 1984, MGL Consulting, LLC has been committed to the compliance consulting business. We extend our highly responsive, personal service team to you, our customer. As a client of MGL you will be assigned a dedicated Relationship Manager from our team of highly experienced securities industry professionals. Your Relationship Manager will provide you with hands-on, day-to-day compliance assistance permitting you to focus on your business. Through our team of seasoned compliance professionals, MGL brings considerable resources to your business at a fraction of the cost.
MGL offers a full range of compliance and risk management services, designed to fit a wide range of broker/dealer’s needs and budgets. Whether your firm is a boutique firm engaged in private placements, investment banking or wholesaling activities; or a full service retail brokerage firm conducting business internationally our team has the experience to help you accomplish your goals.
In today’s fast changing regulatory environment, MGL is positioned to provide a full range of compliance and risk management services to investment advisors, fund managers and exempt reporting advisors. Our team of professionals have both regulatory and industry experience to help your firm stay abreast of new regulations and to develop a compliance program to fit your business and your budget needs.
At MGL we recognize that well trained, highly qualified and motivated people are the cornerstones of building any strong organization. Well trained staff, are the foundation every firm needs to build effective supervisory and compliance programs which are strong enough to manage an organization’s growth and minimize regulatory risks. Ask us how we can help you strengthen your staff!
MGL and our principals are uniquely qualified to provide litigation support to attorneys in the areas of securities regulation, FINRA Operations, Exam Processes, and Disciplinary Actions. Our firm has experience providing expert witness testimony, strategic litigation and independent consultant services to legal professionals defending arbitration claims, enforcement actions and or civil claims.
MGL's Sentinel Program is a proactive compliance program which provides firms with direct access to a team of senior compliance and legal professionals whose knowledge and experience is unrivaled by it's competitors.
The Sentinel Program is designed to meet each firm's unique compliance, staffing and budget needs. Pricing of our Sentinel Program is based upon a variety of factors including Services selected by the client, Internal Resources available to the client, as well as Business Activities of the client.
Our Industry is one which sees constant change and growth. While there are many moving pieces, here are some issues from within the industry to look out for in the near future.