MGL Offers Compliance Training to Investment Bankers

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To provide practical working knowledge on specific compliance issues facing investment banking firms, MGL has developed a unique one-day interactive training class to be held Friday, February 22, 2008 at the company's headquarters near Houston, Texas.

To provide practical working knowledge on specific compliance issues facing investment banking firms, MGL has developed a unique one-day interactive training class to be held Friday, February 22, 2008 at the company's headquarters near Houston, Texas.

By nature, Investment Banking firms are unique in the securities industry because they do not conduct a traditional securities business. Therefore, the class focuses on the unique compliance issues that principals of these firms must deal with to be compliant in this ever-changing regulatory environment.

The course, taught by well known industry professionals Deirdre Patten and MGL founder Melinda LeGaye, is comprised of five lessons covering:

  •     Registration Requirements and What They Mean to your Firm
  •     Supervisory Responsibilities
  •     Recordkeeping Responsibilities
  •     Private Placement Pitfalls
  •     Transaction Issues Affecting Financial Compliance

Discussions will focus on rules and regulations, sanction guidelines, and case studies. During the afternoon session, members of MGL's senior compliance staff will be available to answer questions in a panel format where questions may be asked verbally or anonymously through note cards.
This shirt sleeve, interactive session will run from 9 a.m. - 5 p.m. with lunch included at a cost of $525/person.

If you are interested in attending the training and discovering compliance answers to the unique challenges you face in Investment Banking, please complete and fax the Registration Form attached by February 20, 2008.

If you have any questions concerning this class or other Professional Development classes MGL offers, please call (281-367-0380) or e-mail Deirdre Patten.

Based in The Woodlands, TX (near Houston) and founded in 1984, MGL Consulting Corporation is an industry leader in risk management and business solutions offered to broker/dealers, investment advisers and insurance agencies. The firm's industry experts and business professionals have more than 300 years of experience, encompassing hands-on legal, compliance, regulatory, operations, continuing education and accounting disciplines.

For more information on these and other risk management and business solutions services visit http://www.mglconsulting.com or contact Judy Ryan at 281-367-0380.

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