Upcoming Events
Conferences, Seminars, & Other industry Events
OCTOBER 10-12, 2022
2022 Annual Conference & Trade Show
The Cosmopolitan of Las Vegas
November 9-10, 2022
2022 Small Firm Conference
Santa Monica, CA - Hybrid Event
DATE TBD
2022 ORION
Location TBD
Past Events
FINRA Small Firm Conference
11/11-12/2020: Santa Monica, California
The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff. Find out more here!
MGL Regulation BI: What You Need To Know.
3/26/2020: Houston, Texas
This event is presented jointly by MGL Consulting, LLC and Jones Day. Planelists will include speakers from MGL Consulting, Jones Day and others to discuss Regulation BI, how to prepare and what to expect when the regulation becomes effective on June 30, 2020. Stay tuned for more information!
Service details
Regulatory Focus for 2022
What is on the horizon
Our Industry is one which sees constant change and growth. While there are many moving pieces, here are some issues from within the industry to look out for in the near future.
A View From The Front Lines; Areas of Focus:
- Operational Issues:
- Cybersecurity and Technology Governance
- Cyber and Technology Risk Assessments
- Emerging Technologies and Crypto-Assets
- Anti-Money Laundering Programs and Suspicious Activity Reporting
- Sales Practice Issues:
- Outside Business Activities and Private Securities Transactions
- Funding Portals and Crowdfunding Offerings
- Reg BI and Form CRS
- Private Placements
- FINOP Issues:
- Classification of Receivables, Liabilities and Revenue
- Liquidity and Credit Risk Management
- Expense Sharing Arrangements
- Training and Guidance for new FINOPs
regulatory discussions
and news from within the industry
While we know that not everyone can attend every conference or meeting, it is important to know what is being discussed, what is receiving increased attention and what you should be looking to in the future to ensure your Firm's success. Below is a small snapshot of some current industry topics.
