Investment Advisor Services

 

 

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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:

 

 

 

The Compliance Focus
With the dramatic growth in Investment Advisors over the last few years, regulatory requirements have become even more rigorous. Assets Under Management have escalated, stricter government regulations have come into play, and more firms face global challenges. Today, many institutions are under increasing pressure to minimize their exposure to accounting fraud, money laundering, terrorist financing and other risks.


Comprehensive Services
MGL's broad financial services industry background and experience is a definite strength in this dynamic environment. We offer comprehensive registration and compliance services to Investment Advisors at both the state and federal level. Our experts can guide and counsel you through the initial registration process and provide ongoing compliance services to fit your specific needs. Again, our suite of services is designed to provide the support and expertise necessary for you to confidently grow your business without regulatory concerns. Through our Sentinel Program, MGL can bundle various services to create a customized compliance program to address a particular firm's unique business needs and budget on an ongoing basis.


Risk Management

Compliance Services

    • Advisory Agreements
      •  Management Agreements
      •  Sub-Advisor Agreements
      •  Solicitor Agreements
    • AML Compliance and Customer Identification
    • Programs
    • Code of Ethics
    • Compliance Audits / Books & Records Reviews
      • Home Office
      • Branch Office
    • Compliance Officer Training
    • Compliance Manuals
    • Customized Advisory Programs
    • Edgar Filings
    • Form ADV Disclosure Reviews
    • Pre-Licensing Training
    • Privacy Policies
    • Regulatory Consulting
    • Regulatory Exams and Inquiries
    • Regulatory Enforcement Actions

Business Solutions

Registration Services

    • Securities Exchange Commission ("SEC") and state registration services
      • Turn-key registration packages for start-up investment advisory firms
      • Web-IARD Administration
    • State registrations
      • Firm and Agent Investment Advisor Registrations
      • Foreign Corporation Qualifications
      • Branch Office Registrations
    • Pre-licensing Training