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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
Regulatory Mandated Consulting

If your firm is required to engage a third party consultant in regard to a regulatory review, MCD will help you create sensible solutions that make sense and satisfy regulatory agencies.  

MCD's extensive regulatory and industry experience  enables us to work closely with your firm and regulatory agencies to recommend and implement a plan of action that includes the following:

  • Discussion and review with the firm and regulatory agencies to ensure that all areas of concern are addressed
  • Establish a compliance program designed to prevent the future occurence of exceptions
  • Create and implement a training program for all affected firm personnel
  • Maintain communication with the regulatory agency on the firm's behalf

MCD Consulting
Sensible Solutions.  Exceptional Service.

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

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