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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...
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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 ...
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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...
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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...
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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...
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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:  ...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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“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...
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  • MCG Checklist for FINRA 2020 Branch Inspections
  • FINRA Branch Inspections Readiness
  • CFO Tech Outlook names MCG Consulting Top Ten in Financial Fraud Detection
  • Paul A. Murdock, Managing Director of MCG Consulting LLC, named Top 100 People in Finance
  • Reg BI will Not be Distracted by Pandemic
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