Have you just been informed about the date of your next regulatory exam? Or do you just want to be prepared when it comes?
MCD Consulting has been on both sides during a regulatory exam. As a former FINRA Examiner and a compliance professional, MCD has the tools and knowledge to assist you during regulatory exams.
We will assist you during your next regulatory exam by preparing you for exactly what to expect from the SEC and FINRA.
Unsure what to do about certain components of the Records Request list? Nervous about the regulators perception of your firm?
Bring MCD Consulting to the table.
Sensible Solutions. Exceptional Service.