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# MCG Consulting

Award-winning FinReg Consultancy

## Sitemaps

- [XML Sitemap](https://mcgcomply.com/sitemap.xml): Contains all public & indexable URLs for this website.

## Posts

- [SEC Reg E-Delivery: Are You Ready?](https://mcgcomply.com/2026/08/31/sec-reg-e-delivery-are-you-ready/) - The SEC's proposed Reg E-Delivery would flip electronic delivery to opt-out. See what broker-dealer compliance teams need to prepare now.
- [FINRA's 2026: 7 Signals for Financial Crimes & Cybersecurity](https://mcgcomply.com/2026/08/20/finras-2026-7-signals-for-financial-crimes-cybersecurity/) - Seven signals from FINRA's 2026 conference reveal where financial crime and cybersecurity risks are heading and what broker-dealers should do next.
- [AI Governance for Broker-Dealers: What Examiners Expect Now](https://mcgcomply.com/2026/08/04/ai-governance-for-broker-dealers/) - AI governance for broker-dealers is already required. See the 8 controls FINRA and SEC expect firms to have in place for a 2026 exam.
- [FINRA Cuts Exam Retake Wait Times](https://mcgcomply.com/2026/07/27/finra-cuts-exam-retake-wait-times/) - FINRA just shortened qualification exam retake waiting periods. See what's changing, key dates, and how MCG Consulting keeps your firm compliant.
- [FINRA Rule 2210 Overhaul: What Broker-Dealers Must Know](https://mcgcomply.com/2026/07/27/finra-rule-2210-overhaul-what-broker-dealers-must-know/) - FINRA proposes major Rule 2210 updates, including AI-ready communications, risk-based supervision, and streamlined filing rules.
- [The Financial Compliance Rule Calendar: June 2026 Deadlines & What's Coming Next](https://mcgcomply.com/2026/06/29/the-financial-compliance-rule-calendar-june-2026-deadlines-whats-coming-next/) - June 2026 brings key regulatory deadlines; Reg S-P, daily reserve computation, and more. MCG Consulting maps FINRA, SEC, and FinCEN rules through 2028.
- [5 FINRA & SEC Compliance Trends Financial Firms Must Watch](https://mcgcomply.com/2026/06/22/5-finra-sec-compliance-trends-financial-firms-must-watch/) - Are you addressing the compliance trends regulators are watching? Learn the top FINRA and SEC priorities for 2026 and how to stay ahead.
- [SEC Reg S-P Compliance Deadline: What Small Firms Must Do Now](https://mcgcomply.com/2026/05/27/sec-reg-sp-compliance-deadline-small-broker-dealer-ria/) - The SEC's Reg S-P small entity deadline has arrived. Learn what broker-dealers and RIAs must have in their written information security program now.
- [FinCEN's 2026 AML Rule Is Coming — Here's What Every Financial Institution Needs to Know](https://mcgcomply.com/2026/04/29/fincens-2026-aml-rule-is-coming-heres-what-every-financial-institution-needs-to-know/) - FinCEN's 2026 AML/CFT proposed rule reshapes compliance for all BSA-covered institutions. Learn what changes, what's at risk, and how to prepare now.
- [FINRA Rule 3220 WSP Guide (2026 Update)](https://mcgcomply.com/2026/04/09/finra-rule-3220-wsp-guide-2026-update/) - FINRA Rule 3220 now requires a $300 gift limit and major WSP updates. Learn how to fix compliance gaps before your next exam.
- [FINRA Rule 3220 Update 2026: New $300 Gift Limit & Compliance Requirements](https://mcgcomply.com/2026/03/30/finra-rule-3220-update-2026-new-300-gift-limit-compliance-requirements/) - FINRA Rule 3220 now sets a $300 gift limit. Learn key changes, compliance requirements, and what broker-dealers must do as of March 2026.
- [FINRA Rule 3290: What Broker-Dealers Need to Know](https://mcgcomply.com/2026/03/17/finra-rule-3290-what-broker-dealers-need-to-know/) - Learn how FINRA Rule 3290 reshapes OBA and PST oversight, shifting focus to higher-risk activities and strengthening broker-dealer compliance.
- [Navigating FINRA’s Latest Moves: A Deep Dive into FINRA Rules 5110 and 5123](https://mcgcomply.com/2026/02/23/navigating-finras-latest-moves-a-deep-dive-into-finra-rules-5110-and-5123/) - Explore FINRA’s proposed 2026 amendments to Rules 5110 and 5123 and what they mean for broker-dealers navigating compliance changes.
- [FINRA & SEC Heighten Scrutiny of Small-Cap and Omnibus Accounts](https://mcgcomply.com/2026/01/30/finra-sec-heighten-scrutiny-of-small-cap-and-omnibus-accounts/) - FINRA and SEC intensify scrutiny of small-cap offerings and omnibus accounts, raising AML, CIP, and supervisory risks for broker-dealers in 2025–2026.
- [SEC 2026 Examination Priorities: How MCG Consulting and Wolters Kluwer Help Firms Prepare](https://mcgcomply.com/2026/01/15/sec-2026-exam-priorities-readiness-guide/) - Understand the SEC’s 2026 Examination Priorities and how MCG Consulting and Wolters Kluwer help firms strengthen AML, governance, and exam readiness.
- [SEC Eases Use of Personal Entities for Broker Commissions](https://mcgcomply.com/2025/12/12/sec-eases-use-of-personal-entities-for-broker-commissions/) - SEC no-action relief allows personal service entities to receive transaction-based compensation, enhancing tax planning and efficiency for independent reps.
- [Is your AML framework fortified?: What you Need to Know to Protect your Firm](https://mcgcomply.com/2025/11/20/is-your-aml-framework-fortified-what-you-need-to-know-to-protect-your-firm/) - Strengthen your agency’s AML defenses. Learn the essential steps to stay compliant, mitigate risks, and safeguard your operations in a shifting landscape.
- [Navigating Conflicts in Due Diligence Under FINRA Notice 21-03: Implications You Should Know Now](https://mcgcomply.com/2025/11/13/navigating-conflicts-in-due-diligence-under-finra-notice-21-03-implications-you-should-know-now/) - Understand how conflicts impact due diligence under FINRA Notice 21-03. Learn essential implications, compliance risks, and what firms must do to stay ahead.
- [FINRA Targets Small-Cap Offerings: Immediate Action Needed from Financial Institutions](https://mcgcomply.com/2025/11/04/finra-targets-small-cap-offerings/) - FINRA launches a targeted exam on small-cap offerings. Financial institutions must act now to assess compliance, supervision, and AML practices.
- [Outsourced Compliance for BSA/AML and OFAC](https://mcgcomply.com/2025/05/27/outsourced-compliance-for-bsa-aml-and-ofac/) - Discover how outsourcing BSA/AML and OFAC compliance boosts efficiency, reduces risk, and adds expertise—while ensuring regulatory accountability.
- [Non-Compliance Costs: Avoid the Fines](https://mcgcomply.com/2025/05/22/non-compliance-costs-avoid-the-fines/) - Discover the real cost of non-compliance—fines, reputation hits, and disruptions. See how MCG Consulting helps you stay compliant and avoid costly setbacks.
- [Why Businesses Need Proactive Financial Guidance](https://mcgcomply.com/2025/03/24/why-businesses-need-proactive-financial-guidance/) - At MCG Consulting, the right financial strategy turns challenges into opportunities. See why our proactive financial guidance is essential for success.
- [The Role of Compliance in Cryptocurrency and Digital Assets](https://mcgcomply.com/2025/04/30/the-role-of-compliance-in-cryptocurrency-and-digital-assets/) - As crypto adoption grows, so does regulation. Read about key compliance risks, AML rules, and how MCG Consulting helps firms navigate digital assets.
- [Financial Fraud Detection: Emerging Threats and Prevention Strategies](https://mcgcomply.com/2025/04/23/financial-fraud-prevention-strategies/) - Financial fraud is evolving fast. Learn key trends, threats, and strategies to protect your business with MCG Consulting's expert fraud prevention insights.
- [Digital Transformation Compliance Practices](https://mcgcomply.com/2025/05/08/digital-transformation-compliance-practices/) - Modernize compliance with digital transformation. Reduce risk, boost accuracy, and gain expert insights from MCG Consulting to stay ahead of regulations.
- [How AI Is Transforming Regulatory Compliance in Financial Services](https://mcgcomply.com/2025/04/15/how-ai-is-transforming-regulatory-compliance-in-financial-services/) - AI is transforming financial compliance—cutting costs, reducing risk, and boosting efficiency. MCG helps firms adopt AI-powered solutions with confidence.
- [Treasury Halts Reporting and What It Means](https://mcgcomply.com/2025/03/31/treasury-halts-reporting-and-what-it-means/) - U.S. Treasury pauses Corporate Transparency Act enforcement giving businesses a key opportunity to prepare for future ownership reporting rules.
- [How Regulatory Changes Impact Financial Operations](https://mcgcomply.com/2025/03/20/how-regulatory-changes-affect-financial-operations/) - Regulatory changes impact audits, risk management & efficiency. Explore how MCG Consulting helps you navigate shifts, mitigate risks & seize opportunities.
- [Key Regulatory Changes Businesses Should Prepare For in 2025](https://mcgcomply.com/2025/03/10/2025-key-regulatory-changes/) - Discover the 2025 groundbreaking changes in compliance and how MCG Consulting can help you understand and prepare for these regulatory shifts.
- [MCG Consulting and Hadrius Forge Strategic Partnership to Elevate Compliance Solutions for RIAs and Broker-Dealers](https://mcgcomply.com/2025/03/07/mcg-consulting-and-hadrius-forge-strategic-partnership/) - MCG Consulting and Hadrius join forces to redefine compliance management in the financial industry with deep regulatory expertise and Ai-powered solutions.
- [The Role of a Chief Compliance Officer (CCO) and How MCG Consulting Can Support Your Business](https://mcgcomply.com/2024/10/05/role-of-compliance-chief-officer-mcg-consulting/) - Learn how an Interim Chief Compliance Officer (CCO) ensures your business stays compliant. Discover how MCG Consulting can support your compliance needs.
- [Key Takeaways for Effective Trade Surveillance: From Software Implementation to Integration](https://mcgcomply.com/2024/07/06/key-takeaways-for-effective-trade-surveillance/) - Implementing trade surveillance software in financial services is a critical step toward ensuring compliance, maintaining market integrity, and mitigating risks
- [Finra Regulatory Notice 24-02: New Rules And End Of Temporary Relief Measures](https://mcgcomply.com/2024/06/05/finra-announces-new-rules/) - FINRA announces new rules and ends COVID-19 relief measures, ensuring compliance & proper supervision for all financial firms. Explore the details now with us!
- [Paul A. Murdock, Managing Director of MCG Consulting LLC, named Top 100 People in Finance](https://mcgcomply.com/2023/03/12/paul-a-murdock-managing-director-of-mcg-consulting-llc-named-top-100-people-in-finance/) - Congratulations to Paul A. Murdock for being recognized among the top professionals in finance by The Top 100 Magazine. Learn more
- [MCG takeaways from 2019 SIFMA Conference Part 1](https://mcgcomply.com/2023/03/13/mcg-takeaways-from-2019-sifma-conference-part-1/) - Explore regulatory discussions on topics like Regulation BI, digital currency, fintech, and more from the 2019 SIFMA Conference. Learn about FINRA initiatives
- [Compliance Simplified: How MCG Consulting Guides You Through Regulatory Hurdles](https://mcgcomply.com/2024/09/06/compliance-simplified-mcg-solutions-regulatory-guidance/) - Navigate regulatory hurdles effortlessly with MCG Solutions. From risk management to customized compliance frameworks, we help businesse stay compliant & thrive
- [Sign up for Free Reg BI Webinar](https://mcgcomply.com/2023/03/13/sign-up-for-free-reg-bi-webinar/) - Don’t be alarmed but Covid-19 isn’t stopping Reg BI. The June 30, 2020 deadline is rapidly approaching.
- [The Rising Trend of Compliance Officer Outsourcing: Benefits for Modern Businesses](https://mcgcomply.com/2024/05/05/compliance-officer-outsourcing-benefits/) - Discover why more companies are turning to outsourced Chief Compliance Officer and how MCG Consulting's experts can help streamline your compliance needs.
- [Balancing Act: The Pros and Cons of Outsourcing Your CCO](https://mcgcomply.com/2024/03/01/regulatory-companies/) - Discover the pros and cons of outsourcing Chief Compliance Officer (CCO) role in regulatory companies. Learn effective strategies for successful implementation
- [Banks'​ latest gift to Private Credit Funds](https://mcgcomply.com/2023/05/30/banks-latest-gift-to-private-credit-funds/) - Explore Banks' Latest Gift to Private Credit Funds with MCG Consulting. Navigate financial landscapes with strategic insights from our experts.
- [More MCG SIFMA takeaways, Next generation compliance](https://mcgcomply.com/2023/03/13/more-mcg-sifma-takeaways-next-generation-compliance/) - More MCG takeaways from 2019 SIFMA Conference C&L, Annual Seminar held March 24-27 at JW Marriott Desert Ridge, Phoenix AZ
- [Is it more of the same with the OCIE 2019 Regulations?](https://mcgcomply.com/2023/03/13/is-it-more-of-the-same-with-the-ocie-2019-regulations/) - Gain insight into evolving market risks &OCIE's 2019 priorities, covering areas like expenses, conflicts of interest, retirement accounts, portfolio management
- [MCG Sponsors Golf Giveback](https://mcgcomply.com/2023/03/12/mcg-sponsors-golf-giveback/) - MCG proudly sponsors Golf Giveback, fostering community spirit. Join us in making a difference with MCG Consulting. Contact us for more info .
- [How to offer an ATS in the US Capital Markets](https://mcgcomply.com/2023/03/13/how-to-offer-an-ats-in-the-us-capital-markets/) - To offer Cryptocurrency Trading in the US Capital Markets, you must start your own securities exchange or start your own Alternative Trading System (“ATS”).
- [CEO Views recognizes Paul A. Murdock as one of the Best Inspiring Leaders to Watch 2023](https://mcgcomply.com/2023/10/02/ceo-views-recognizes-paul-a-murdock-as-one-of-the-best-inspiring-leaders-to-watch-2023/) - Discover leadership excellence with Paul A. Murdok, our founder and managing director; Recognized as one of the Best Inspiring Leaders to Watch in 2023.
- [Is the SEC overly concerned with Outsourced Chief Compliance Officer Engagements?](https://mcgcomply.com/2023/10/25/is-the-sec-overly-concerned-with-outsourced-chief-compliance-officer-engagements/) - Engage in the Debate: Are the SEC’s Concerns About Outsourced Chief Compliance Officers Valid or Excessive? Gain In-Depth Insights from MCG Consulting.
- [Webinar: Practical Steps to Strategic Year-End Compliance](https://mcgcomply.com/2023/11/28/webinar-practical-steps-to-strategic-year-end-compliance/) - Don't miss our Webinar: Practical Steps to Strategic Year-End Compliance. Learn actionable steps for a compliant and successful year-end.
- [MCG Consulting LLC and Artius Global Announce Innovative Regulatory Technology Partnership for Shareholding Disclosure in Capital Markets](https://mcgcomply.com/2024/01/05/mcg-consulting-llc-and-artius-global-announce-innovative-regulatory-technology-partnership-for-shareholding-disclosure-in-capital-markets/) - Explore our Regulatory Technology Partnership for Shareholding Disclosure. Leverage advanced solutions for transparent and compliant operations.
- [FINRA 2022 Updates](https://mcgcomply.com/2019/12/02/post002/) - Stay informed on FINRA 2022 Updates with MCG Consulting. Navigate regulatory changes seamlessly for a compliant financial future. For more info contact us.
- [NSCP Conference Panel: ALL – Ethical Best Practices](https://mcgcomply.com/2023/03/12/nscp-conference-panel-all-ethical-best-practices/) - Join our experts at the NSCP Conference Panel for insights into Best Ethical Practices. Elevate your compliance standards with us.
- [The Corporate Transparency Act](https://mcgcomply.com/2023/03/12/the-corporate-transparency-act/) - Stay compliant with The Corporate Transparency Act, guided by MCG Consulting. Trust us to keep your business transparent and regulation-ready.
- [“Bad Apple” accused of Insider Trading](https://mcgcomply.com/2023/03/13/bad-apple-accused-of-insider-trading/) - Stay informed with MCG Compliance News. Read about the latest accusations of insider trading involving Bad Apple and the implications for regulatory compliance
- [Video: Reg BI: Practical Steps to Take Right Now](https://mcgcomply.com/2023/03/13/video-reg-bi-practical-steps-to-take-right-now/) - Discover actionable steps to ensure compliance with Regulation Best Interest (Reg BI) in this informative video from MCG Comply. Start implementing today.
- [Reg BI will Not be Distracted by Pandemic](https://mcgcomply.com/2023/03/12/reg-bi-will-not-be-distracted-by-pandemic/) - The SEC is moving ahead with the Reg BI June 30, 2020 implementation in light of the global pandemic and recent market volatilities.
- [FINRA Branch Inspections Readiness](https://mcgcomply.com/2023/03/12/finra-branch-inspections-readiness/) - Ensure readiness for FINRA branch inspections with expert guidance from MCG Comply. Learn how to navigate regulatory requirements effectively.
- [CFO Tech Outlook names MCG Consulting Top Ten in Financial Fraud Detection](https://mcgcomply.com/2023/03/12/finra-branch-inspections-readinesscfo-tech-outlook-names-mcg-consulting-top-ten-in-financial-fraud-detectionfinra-branch-inspections-readiness/) - Discover how MCG Consulting secured a top spot in financial fraud detection according to CFO Tech Outlook. Get insights on FINRA branch inspections readiness.
- [MCG Checklist for FINRA 2020 Branch Inspections](https://mcgcomply.com/2023/03/12/mcg-checklist-for-finra-2020-branch-inspections/) - Maximize efficiency in FINRA branch inspections with MCG's comprehensive checklist for 2020. Ensure compliance streamline your inspection process effectively
- [A Fund-amental Experience for South African Children](https://mcgcomply.com/2023/03/13/a-fund-amental-experience-for-south-african-children/) - Read about the impactful initiative by MCG Comply, providing essential support and opportunities for children in South Africa. Learn more.
- [MCG Consulting connects you to the next generation of compliance](https://mcgcomply.com/2023/05/30/mcg-consulting-connects-you-to-the-next-generation-of-compliance/) - Embrace the future with Next-Gen Compliance: MCG Consulting Service. Navigate evolving regulations with cutting-edge solutions.
- [Disentangling Business Complexities](https://mcgcomply.com/2023/03/11/disentangling-business-complexities/) - Simplify intricate business challenges with MCG Consulting. We specialize in disentangling complexities for streamlined success.
- [Financial Inclusivity AML/KYC](https://mcgcomply.com/2019/12/02/post001/) - Foster financial inclusivity with MCG Consulting's AML/KYC expertise. Ensure compliance with our dedicated team for a secure financial landscape.
- [MCG can get you Reg BI ready](https://mcgcomply.com/2023/03/13/mcg-can-get-you-reg-bi-ready/) - Is your firm ready for the CHANGE! The SEC’s Regulation Best Interest (Reg BI) is moving full force ahead.

## Pages

- [Hometwo](https://mcgcomply.com/) - MCG Consulting is a top notch global Financial Regulatory Consulting service providers to our clients in the United States, London and South Africa.
- [MCG Solutions™](https://mcgcomply.com/mcg-solutions/) - Options for MCG Solutions, globally renowned for Financial Regulatory Services. Navigate complex regulations with confidence and expertise.
- [Home](https://mcgcomply.com/home/) - Global financial regulatory consulting for compliance, risk management, and strategy. Navigate complex regulations effectively to achieve business success.
- [FAQ](https://mcgcomply.com/faq/) - Find answers to common questions about compliance services, regulations, and solutions. Explore MCG Consulting's FAQs for expert insights and guidance.
- [Webinars](https://mcgcomply.com/webinars/) - Webinars Webinar: Reimagining Regulatory Compliance with AI InnovationJuly 31, 2025Read more Webinar: Navigating SEC Rule 13f-2December 24, 2024Read more
- [Services](https://mcgcomply.com/our_services/) - MCG Solutions, a top regulatory company, aids in navigating regulatory compliance, governance risk, and compliance monitoring complexities for businesses.
- [Contact](https://mcgcomply.com/contact/) - Have questions? Let's talk! Contact us for any inquiries or consultations. We're here to help.
- [Blog](https://mcgcomply.com/blog/) - Stay updated with MCG Consulting's Blog, Recent News & Events. Explore industry insights, news, and upcoming events in one place.
- [Industry Solutions](https://mcgcomply.com/industry-solutions/) - As a leader among regulatory companies, MCG Solutions excels in compliance, supervisory procedures, Reg BI, due diligence, and setting industry benchmarks.
- [Project Management](https://mcgcomply.com/project-management/) - Optimize and streamline your project efficiency and certify compliance with MCG Solutions. Expertise in FINRA rules 3110, 2210, and regulatory compliance.
- [Transaction Monitoring](https://mcgcomply.com/transaction-monitoring/) - Enhance oversight of written supervisory procedures with MCG Solutions' transaction monitoring services. Ensure comprehensive governance risk and compliance.
- [Identity Management & Control](https://mcgcomply.com/identity-management-control/) - Streamline your identity management & control processes with MCG Solutions. From AML certification to risk management discover how we can protect your business.
- [Compliance](https://mcgcomply.com/compliance/) - Partner with MCG Solutions for compliance services. Our expertise in monitoring, due diligence, & certifying compliance ensures you meet all standards.
- [Regulatory Reporting](https://mcgcomply.com/regulatory-reporting/) - Streamline compliance with MCG's expert regulatory reporting services. Ensure accuracy, meet regulations, and maintain business integrity effortlessly.
- [Risk Management](https://mcgcomply.com/risk-management/) - Navigate uncertainties with MCG's effective risk management strategies. Enhance decision-making, stability, and compliance to protect your business.
- [Team](https://mcgcomply.com/team/) - Meet our specialists at MCG Consulting. Committed professionals ready to guide you through financial inclusivity, AML, and KYC solutions.
- [Awards](https://mcgcomply.com/awards/) - MCG Consulting LLC has been featured in the Top 10 Financial Fraud Detection Consulting/Service Companies in the 2020 edition of CFO Tech Outlook..
- [Company Info](https://mcgcomply.com/company-info/) - MCG Consulting connects you to the next generation of compliance by navigating the complexities of the evolving financial landscape.
- [Case Studies](https://mcgcomply.com/case-studies/) - Discover real-world case studies showcasing MCG Comply's effective compliance solutions. Learn how we help clients navigate regulatory challenges successfully.
- [Showcase](https://mcgcomply.com/showcase/) - Showcase Check out our projects! Broker DealerMCG Consulting is listed in FINRA’s Compliance Vendor Directory. Details Hedge FundsMCG will provide compliance program development, risk assessments, regulatory controls… Details Investment AdviserMCG will create a customized program to help navigate your… Details Private FundsMCG will establish a strong culture of compliance and implement… Details Load more
- [Privacy policy](https://mcgcomply.com/privacy-policy-2/) - Explore MCG Comply for comprehensive privacy policy solutions. Ensure compliance with regulations and protect sensitive data. Simplify your privacy policy management.
- [Search Results](https://mcgcomply.com/search-results/) - [mphb_search_results]

## Specialists

- [Donald Schier](https://mcgcomply.com/specialists/donald-schier/) - Donald Schier is a regulatory compliance and technology consultant with 30+ years of experience in financial services, government, and digital transformation.
- [Kislev Yusay](https://mcgcomply.com/specialists/kislev-kes-yusay/) - Kes is a FINRA-licensed compliance professional specializing in broker-dealer compliance, AML/KYC, regulatory documentation, and SEC support.
- [Yuen Chun](https://mcgcomply.com/specialists/yuen-chun/) - Yuen Na Chun, CPA, is a broker-dealer finance and operations expert, serving multiple firms with expertise in financial reporting and compliance.
- [Maya Brown](https://mcgcomply.com/specialists/maya-brown/) - Maya Brown is a marketing consultant overseeing brand marketing, digital and social media. A global executive with vast experience in the financial services.
- [Joe Tropeano](https://mcgcomply.com/specialists/joe-tropeano/) - Joe has over 30 years of experience in asset management, Hedge Funds and broker-dealer compliance and has served as CCO at top-tier investment advisers.
- [William White Jr.](https://mcgcomply.com/specialists/william-white-jr/) - William has breath of experience in risk management, due diligence and business mitigation strategies with a dedication to ensuring compliance .
- [Augusto Macedo](https://mcgcomply.com/specialists/augusto-macedo/) - Gus has 25 years of experience providing legal advice and counseling to investment advisers, municipal and securities broker-dealers, mutual fund, ...
- [Maria Minguez](https://mcgcomply.com/specialists/maria-minguez/) - Maria is a highly experienced compliance professional with extensive knowledge of SEC, CFTC, FINRA, NFA, MSRB, Blue Sky, CSA, FCA, ESMA .
- [Robin Shulman, CFA](https://mcgcomply.com/specialists/robin-shulman/) - Robin Shulman has over 30 years of experience in asset management and broker-dealer compliance. She has served as the Chief Compliance Officer at top-tier ...
- [Michael T. Dorsey](https://mcgcomply.com/specialists/michael-t-dorsey/) - Mike advises executives of broker-dealers and investment advisers on all regulatory aspects of their businesses, including fixed-income trading and ...
- [Paul A. Murdock](https://mcgcomply.com/specialists/paul-a-murdock/) - Paul A. has amassed over 25 years of experience specializing in finance and compliance within the financial services industry. Prior to starting MCG, Paul .
- [Joseph Guarino](https://mcgcomply.com/specialists/joseph-guarino/) - Joe is a seasoned leader with over 20 years of extensive compliance expertise, broad and deep operational experience, and product knowledge.

## Case Studies

- [Chief Compliance Officer Engagement](https://mcgcomply.com/case_studies/chief-compliance-officer-engagement/) - Learn how MCG Comply supported a Chief Compliance Officer with effective engagement strategies. Discover solutions for regulatory compliance challenges.
- [Broker Firm Registration](https://mcgcomply.com/case_studies/broker-firm-registration/) - Explore how MCG Comply assisted a Broker Firm Registration challenges. Learn how our expertise can streamline your regulatory compliance.
- [Regulatory Reporting](https://mcgcomply.com/case_studies/regulatory-reporting/) - Explore how MCG Comply streamlined regulatory reporting for clients. Discover effective solutions for navigating complex regulatory requirements.

## Webinars

- [Webinar: Reimagining Regulatory Compliance with AI Innovation](https://mcgcomply.com/webinar/mcg-consulting-hosts-exclusive-webinar-ai-innovation-and-regulatory-compliance/) - Explore how AI is transforming compliance in financial services. Watch our expert-led webinar for insights, strategies, and regulatory trends.
- [Webinar: Navigating SEC Rule 13f-2](https://mcgcomply.com/webinar/mcg-consulting-webinar-on-sec-rule-13f-2-compliance/) - Learn how to comply with SEC Rule 13f-2. Our expert-led webinar breaks down short position disclosure rules and offers practical compliance strategies.

## Portfolio

- [Broker Dealer](https://mcgcomply.com/project/broker-dealer/) - Strengthen your broker-dealer services with MCG Solutions' risk management expertise, ensuring compliance in Reg BI, due diligence, and AML certification.
- [Investment Adviser](https://mcgcomply.com/project/investment-adviser/) - MCG will create a customized program to help navigate your compliance, registration and training needs.
- [Private Funds](https://mcgcomply.com/project/private-funds/) - Maximize the performance and compliance of your private credit funds with MCG Solutions' tailored governance risk, finance reviews & risk management strategies.
- [Hedge Funds](https://mcgcomply.com/project/hedge-funds/) - Discover how MCG Solutions enhances hedge fund operations with expert management, AML certification, and insightful finance reviews for private credit funds.

## Categories

- [Financial](https://mcgcomply.com/category/financial/) - Discover expert insights and comprehensive analysis on financial trends, regulations, and best practices. Stay updated with MCG Comply’s financial articles.
- [Awards](https://mcgcomply.com/category/awards/) - Explore MCG Comply's awards category, celebrating excellence and recognition in the field of compliance and regulatory solutions. Discover our achievements.
- [Business Services](https://mcgcomply.com/category/business-services/) - Explore MCG Comply’s awards category for the latest recognitions and achievements. Celebrate excellence in compliance and industry leadership with us.
- [Compliance](https://mcgcomply.com/category/compliance/) - Discover expert insights and solutions for compliance issues in various industries. Let MCG Comply guide you through complex regulatory landscapes.
- [Digital Currency](https://mcgcomply.com/category/digital-currency/) - Discover expert insights and solutions for navigating the complexities of digital currency compliance. Stay informed with MCG Comply
- [FINRA](https://mcgcomply.com/category/finra/) - Discover the latest FINRA compliance news and expert insights. Stay informed with MCG Comply’s comprehensive articles in the FINRA category.
- [Mutual Funds](https://mcgcomply.com/category/mutual-funds/)
- [Regulations](https://mcgcomply.com/category/regulations/) - Explore regulatory insights and updates in the finance industry. Stay compliant with MCG Compliance Regulations Hub. Stay informed, stay compliant.
- [Social Responsibility](https://mcgcomply.com/category/social-responsibility/) - Explore MCG Comply's articles on social responsibility. Discover insights, initiatives, and stories that highlight corporate responsibility and community impact
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