Houston, TX (PRWEB) August 26, 2008
To provide an update on compliance issues facing broker/dealers and investment advisors, MGL Consulting will sponsor a unique one-hour Compliance Chat teleconference on September 9, 2008 at 3:15 p.m. CST.
The informal discussion will address the tough, everyday challenges financial firms face in an ever-changing regulatory environment. MGL's industry experts will provide insights and practical knowledge to help firms comply with securities laws as they work to service their customers. Recent FINRA and SEC updates will also be reviewed and placed in industry perspective. Sample topics include RAND Ramifications, Trade Reporting, BCP Testing, Variable Annuities, Plain English Disclosures, Financial Engagement Letters and Quarterly CCO/CEO Meetings.
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 mglconsulting.com or contact Judy Ryan at 281-367-0380.