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
Sensible Solutions. Exceptional Service.