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.
- Innovative Software Solutions
- 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
Dan E. LeGaye, Exec. Vice President and General Counsel
- Regulatory trends and influences affecting broker/dealers and investment advisors
- Anti-Money Laundering
- Fiduciary duties of investment advisors as they relate to 401k Plans
- Emerging trends in investment advisor regulation
- Emerging trends in broker/dealer regulation
- Market conduct and investment advisors
- Market conduct and insurance agencies
- 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
- Regulatory trends and influences affecting broker/dealers
- Trading System
- Emerging trends in broker/dealer regulation
- Market conduct and broker/dealers
- General Compliance Issues - trends, hot topics of regulators for broker/dealers
- Financial services modernization (the Graham-Leach-Bliley Act) and the uniformity/reciprocity initiative among states
David Himes, Assistant General Counsel
- FINRA New Member Application Process and Continuing Membership Process
- Supervisory Control Requirements
- Written Supervisory Procedures
- Compliance Audits
- Anti-Money Laundering Programs
Michael R. Schaps, Vice President Broker/Dealer Division
- Financial and Operational issues affecting FINRA Member Firms
- Supervisory Control Requirements
- Written Supervisory Procedures
- Compliance Audits
- Anti-Money Laundering Programs
Debra M. Schaps, Vice President Broker/Dealer Division
- WebCRD Administration
- Branch Office Registration Issues
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