Broker Dealer Services

Annual Compliance Meetings.

 

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Current News:

January 1, 2017

FINRA District 6 Committee: Melinda ("Mimi") LeGaye has joined FINRA's District 6 Committee as a small firm representative.

 

 

Recent Events:

 

 

Death, Taxes and…
Annual Compliance Meetings

Maybe it's not fair to lump Annual Compliance Meetings ("ACM") with death and taxes, but ACMs which are an inevitable part of each broker/dealer's life, can be expensive and have been known to bore attendees to death. Not so with MGL Consulting where our goal is to provide interesting meetings, with relevant content, that actually provide you information you can use on a daily basis.

The “Rule”
FINRA Rule 3010 requires that registered principals, in addition to associated persons, attend an annual compliance meeting. The scope of the rules specifically extends to registered representatives and other associated persons. Throughout the year, we assist clients with the preparation and presentation of these annual compliance meeting programs. Large or small, our firm can provide you with a professional ACM program, created by compliance professionals, that is current and relevant to today's regulatory environment. MGL has extensive experience preparing, coordinating and delivering professional annual compliance meeting programs for our clients. These programs are not only informative and engaging but are also tailored to your business activities and regulatory compliance needs. Throughout the year, we assist clients with the preparation and presentation of their annual compliance meeting programs. Large or small, MGL can provide you with a professional ACM program, created by compliance professionals, that is current and relevant to today's regulatory environment.

Our team of experienced professionals can provide you with a professional customized program that includes written program materials for each of your representatives, attendance logs, annual acknowledgements, a presenter’s outline and more.