For more than 40+ years, MGL Consulting and our staff have had a significant impact on our client, our regulators and our industry. Our professionals have served both the private sector and public sector in a variety of senior level positions. Their expertise encompases Broker Dealers and spans over 400 years of experience between our professionals.
We have supported the compliance efforts of over 1,600 firms while advocating for industry firms of all sizes
Extensive experience assisting and supporting medium firms with navigating regulatory waters.
In registration and compliance
From full service to boutique
Exempt to Asset Managers
Advisors, Operators, & Brokers
Years of Business
Years of Experience
Industry Panels
Professionals
Extensive experience assisting and supporting retail firms with navigating regulatory waters.
With a 40+ year history of integrity, service and excelence
MGL's risk management and compliance services can help your firm navigate the regulatory environment while providing solutions designed to enhance your firm's performance. We pride ourselves in working as a true partner with our client to evaluate and provide solutions to complex issues which firms may face thus aiding their management team to ensure their firm's continuing success in today's regulatory and business envoirnment.
Our professional staff takes pride in firsthand awareness of trends impacting the financial services industry, be they regulatory or opportunistic to aid our firms in ensuring they are prepared for what ever may come.