MGL to Offer 'Beyond Series 27' Training - Compliance Issues for FINOPs

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To provide practical working knowledge for Financial & Operations Principals (FINOPs) of FINRA member firms, MGL has developed a unique one-day interactive training class. "Beyond Series 27" addresses the tough, everyday challenges FINOPs face trying to ensure their firm's financial and operational activities comply with SEC and FINRA rules and regulations.

Even though FINOPs or CFOs may have the credentials and industry knowledge, they can't always prepare for everything. There are always compliance issues lurking beyond day-to-day operations that may test survivor skills. The training will identify the general minefield issues that will be faced time and time again and how to deal with them. Just as important are the "gotchas" and the 10 Deadly Sins that FINOPs need to guard against.

These and other practical issues will be covered in a "Beyond Series 27" class scheduled for March 28, 2008 at MGL's corporate headquarters near Houston, Texas. This shirt sleeve session will run from 9:00am - 5:00pm with lunch included at a cost of $425/person. Agenda

If you are interested in attending the training and discovering compliance answers to the FINOP challenges you face, please complete and fax the attached Registration Form by March 28, 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 or contact Judy Ryan at 281-367-0380.


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