MCG Checklist for FINRA 2020 Branch Inspections mcgcomply November 18, 2020 It is time yet again for another compliance review. The FINRA branch inspections are often due at th... Read More
FINRA Branch Inspections Readiness Paul Murdock November 9, 2020 Covid-19 has arguably become one of the biggest challenges for society as a whole. The pandemic and ... Read More
CFO Tech Outlook names MCG Consulting Top Ten in Financial Fraud Detection mcgcomply May 20, 2020 MCG Consulting LLC has been featured in the Top 10 Financial Fraud Detection Consulting/Service Comp... Read More
Paul A. Murdock, Managing Director of MCG Consulting LLC, named Top 100 People in Finance mcgcomply May 15, 2020 MCG Consulting LLC is pleased to announce its Founder and Managing Director, Paul A. Murdock has bee... Read More
Reg BI will Not be Distracted by Pandemic mcgcomply April 30, 2020 The SEC is moving ahead with the Reg BI June 30, 2020 implementation in light of the global pandemic... Read More
Video: Reg BI: Practical Steps to Take Right Now mcgcomply April 18, 2020 Reg BI: Practical Steps to Take Right Now [Originally broadcast on January 15, 2020] Description: ... Read More
Sign up for Free Reg BI Webinar mcgcomply March 31, 2020 Don’t be alarmed but Covid-19 isn’t stopping Reg BI. The June 30, 2020 deadline is rap... Read More
MCG can get you Reg BI ready mcgcomply November 26, 2019 Is your firm ready for the CHANGE! The SEC’s Regulation Best Interest (Reg BI) is moving ful... Read More
More MCG SIFMA takeaways, Next generation compliance mcgcomply April 18, 2019 More MCG takeaways from 2019 SIFMA Conference C&L, Annual Seminar held March 24-27 at JW Marriot... Read More
MCG takeaways from 2019 SIFMA Conference Part 1 Paul Murdock April 10, 2019 MCG takeaways from 2019 SIFMA Conference C&L, Annual Seminar held March 24-27 at JW Marriott Des... Read More
How to offer an ATS in the US Capital Markets Michael Dorsey March 21, 2019 To offer Cryptocurrency Trading in the US Capital Markets, you must start your own securities exchan... Read More
A Fund-amental Experience for South African Children Paul Murdock March 4, 2019 Rising to the challenge, Paul Murdock President of MCG Consulting, initiated and achieved his person... Read More
Is it more of the same with the OCIE 2019 Regulations? mcgcomply March 2, 2019 The Securities and Exchange Commission’s (SEC) and Office of Compliance Inspection and Examina... Read More
“Bad Apple” accused of Insider Trading Paul Murdock February 21, 2019 As Chief Compliance Officers, we are responsible for implementing policies and procedures to protect... Read More