With broad industry experience and in-depth expertise, MGL professionals are available to comment or speak about broker/dealer, investment advisor or insurance regulations that may be relevant to your firm or association. In addition to Melinda G. LeGaye, the company's President and founder, MGL Consulting Corporation has identified additional expert sources in several vertical focus areas who would be pleased to speak on scheduled occasions.
- Use of trade surveillance technology solutions
- FINRA New Member and Continuing Member Application Process
- Compliance issues facing private placement broker/dealers
- Overall vision of regulatory consulting market
- Industry trends and influences
- Regulatory trends and influences affecting securities industry
- Entrepreneurial vision of regulatory consulting market
- General Compliance Issues - trends, hot topics of regulators for broker/dealers
Bernerd ("Bernie") E. Young, Chief Executive Officer
- FINRA New Member and Continuing Member Application Process
- Regulatory trends and influences affecting broker/dealers and investment advisors
- Anti-Money Laundering
- Use of trade surveillance technology solutions as part of your firm's compliance systems
- Conducting cross border securities activities
- Due Diligence obligations of all broker/dealers
- Obligations of a registered person involved in a FINRA or SEC investigation
- Fiduciary duties of investment advisors as they relate to 401k Plans
- Compliance issues facing private placement broker/dealers
- Net Capital Issues
- Compliance issues facing broker/dealers operating an independent broker platform
- Compliance issues facing investment banking broker/dealers
- Emerging trends in regulation of investment banking activities and FINRA's new Series 79 exam
- Emerging trends in investment advisor regulation
- Emerging trends in broker/dealer regulation
- Market conduct and investment advisors
- General Compliance Issues - trends, hot topics of regulators for investment advisors
K. Michael Koch, Executive Vice President Investment Advisor and Insurance Consulting
- Regulatory trends and influences affecting broker/dealers and investment advisors
- Anti-Money Laundering
- Use of trade surveillance technology solutions as part of your firm's compliance systems
- Due Diligence obligations of all broker/dealers
- Obligations of a registered person involved in a State, FINRA or SEC investigation
- Fiduciary duties of investment advisors as they relate to 401k Plans
- Compliance issues facing private placement broker/dealers
- Compliance issues facing broker/dealers operating an independent broker platform
- Compliance issues facing investment banking broker/dealers
- Emerging trends in regulation of investment banking activitiesand FINRA's new Series 79 exam
- Emerging trends in investment advisor regulation
- Emerging trends in broker/dealer regulation
- Market conduct and investment advisors
- General Compliance Issues - trends, hot topics of regulators for investment advisors
Deirdre Patten, Executive Vice President of Business Development
- Continuing Education trends in the financial services industry
- Branch Manager
- Product Roll Outs and Expansions
- Custom Exam Prep
- Senior Compliance Staff Training
- CFO/FINOP Training
Beth Kravetz, Executive Vice President, Insurance Consulting
- State insurance department licensing requirements for agencies and agents
- Emerging trends in insurance licensing and market conduct
- Market trends for outsourcing licensing and compliance functions
- Market conduct and insurance agents
Curtis Sorrells, Vice President, Broker/Dealer Division
- Regulatory trends and influences affecting broker/dealers
- Anti-Money Laundering
- Use of trade surveillance technology solutions as part of your firm's compliance systems
- Compliance issues facing trading broker/dealers
- Compliance issues facing broker/dealers operating an independent broker platform
- Emerging trends in broker/dealer regulation
- General Compliance Issues - trends, hot topics of regulators for investment advisors
Suzette M. Surman, Vice President, Investment Advisor
- Regulatory trends and influences affecting investment advisors
- Emerging trends in investment advisor regulation
- Market conduct and investment advisors
- General Compliance Issues - trends, hot topics of regulators for investment advisors