Are You Ready for Year-End Compliance Deadlines?
To provide an update on compliance issues facing broker/dealers and investment advisors as we approach year end, MGL Consulting will sponsor a unique one-hour “Compliance Chat” teleconference on December 9, 2008 at 3:15 p.m. CST.
Houston, TX (PRWEB) December 2, 2008 -- To provide an update on compliance issues facing broker/dealers and investment advisors as we approach year end, MGL Consulting will sponsor a unique one-hour “Compliance Chat” teleconference on December 9, 2008 at 3:15 p.m. CST.
The informal discussion will address the everyday challenges financial firms face in this tumultuous market along with ever-changing regulations and deadlines for 2008. MGL’s industry experts will provide insights and practical knowledge to help firms survive during the downturn while staying compliant with securities laws as they work to service their customers. At this session, recent FINRA Rulebook changes will be reviewed and placed in industry perspective. Sample topics also include Auction Rate Securities, New Product Checklists, Retail Foreign Currency Exchange Activities, Investment Advisor Updates, Financial Updates and Year-end requirements for both BD and IA firms.
The “Chat” will last for approximately one hour followed by 10 minutes of Q&A. For the complete teleconference Agenda and to Register for the session, please visit the appropriate link. Be sure to complete and fax your registration form to 281-364-1452.
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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