MCG will review your programs, identify potential risks for compliance violations, and provide information and training on applicable FINRA and SEC regulations.
- New Member Application (“NMA”)
- Continuing Membership Application (“CMA”)
- Registration of Alternative Trading Systems (ATS)
- Annual independent Reviews
- Firm Element Training
- Mock FINRA Review
- Interim CCO services
- Annual AML Reviews
- Branch Office Reviews
MCG Consulting is a proud participant in FINRA’s Compliance Vendor Directory.