In today’s rapidly evolving business landscape, staying compliant with regulations is more critical than ever. Companies across various industries are under constant pressure to navigate a labyrinth of rules, standards, and guidelines that can differ significantly from one sector to another. The consequences of non-compliance can be severe, including hefty fines, reputational damage, and even…
At MCG Consulting Services, we stay ahead of regulatory changes to ensure our clients remain compliant. The Financial Industry Regulatory Authority (FINRA) announced significant updates through Regulatory Notice 24-02. These updates include the adoption of FINRA Rule 3110.19 and FINRA Rule 3110.18, which introduce the Residential Supervisory Location designation and the Remote Inspections Pilot Program. …
Regulatory companies continually seek strategies to enhance efficiency and optimize resource allocation in the fast-evolving business world. One such strategy is outsourcing the role of the Chief Compliance Officer (CCO). This blog post delves into this approach’s intricacies, analyzing its benefits and challenges. Designed for CEOs, CFOs, senior executives, and compliance professionals, this article aims…
MCG Consulting LLC and Artius Global are thrilled to announce a strategic partnership aimed at revolutionizing regulatory technology solutions for shareholding disclosure in capital markets. This collaboration brings together the deep expertise of MCG Consulting LLC in regulatory compliance and the innovative, yet practitioner-focused, technology solutions of Artius Global to provide a comprehensive and seamless…
Join Paul Murdock and James Hartmann from and MCO (My Compliance Office) for a webinar featuring practical guidance on year-end compliance. Now’s the time to review core elements of your compliance program to identify concerns and make adjustments for a stronger 2024. Topics include: Risk Assessments Third Party Due Dilligence Compliance SoftwareOptimization Annual Exams …
Bailed out commercial banks are now holding the sword of Damocles over their venture borrowers. Below is a discussion of the pending migration of venture lending from commercial banks to private credit funds. Of course, now with deposits completely guaranteed, those banks are holding their “compensating balances” term (as part of the original loan…
2021 NSCP NATIONAL CONFERENCE Gaylord National Hotel in National Harbor, MD November 8-10, 2021 Advance your knowledge with MCG Managing Director, Paul Murdock and other guest panelists, Deborah Lamb and Craig Watanabe, as they discuss the need to periodically reevaluate and assess senior management’s dedication to providing firm personnel with the motivation and tools to be…
Is your firm ready for the CHANGE! The SEC’s Regulation Best Interest (Reg BI) is moving full force ahead.
MCG takeaways from 2019 SIFMA Conference C&L, Annual Seminar held March 24-27 at JW Marriott Desert Ridge, Phoenix AZ.
To offer Cryptocurrency Trading in the US Capital Markets, you must start your own securities exchange or start your own Alternative Trading System (“ATS”).
