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Independent AML Review
Annual Review
New and Continuing Membership Applications
Exam Preparation and Guidance
WSPs and Internal Controls
Branch Office and OSJ Reviews
Regulatory Mandated Consulting
Continuing Education
Other Regulatory Matters
Crisis Management
Investment Advisor Services
Hedge Fund Registation
WSPs and Internal Controls
Do your Written Supervisory Procedures need an update?  Are all relevant rule updates incorporated into your supervisory system? 

MCD Consulting can review your WSPs and internal controls so that your supervisory system meets the standards of today's regulatory environment AND are easily implemented.  

Today, firms need to make sure that their procedures and controls are strong enough to pass regulatory review, but simple enough to implement and maintain.  Don't fall into the trap of designing a system that does not manage risk or is so cumbersome that it adversely impacts your business.  

Let MCD Consulting provide you with solutions that help your firm mitigate risk and function efficiently. 

MCD Consulting
Sensible Solutions.  Exceptional Service.

email:  info@mcd-consulting.com
phone:  815.295.3994

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