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Services

Our Services

Comprehensive Services To Elevate Your Brand Online.

M Right Consulting can provide any number of the professional services listed below as specific project work or ongoing assistance:
Typical Project-Based Engagements:
  • Broker-Dealer Registration Support
  • Broker-Dealer Registration Support
  • Continuing Member Applications
  • Membership Agreement Changes
  • Materiality Consultations
  • Creating and Updating Compliance Policies and Procedures
  • Mock Examinations
  • Regulatory Examination Support
  • Independent Conflicts of Interest Reviews
  • Creating and Updating Compliance Policies and Procedures
  • Compliance Program Reviews and Gap Analysis
  • Regulatory Expert Witness
  • Enforcement Undertakings
  • Due Diligence Reports
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Ongoing Regulatory and Compliance Support:
  • Ad hoc Consultation and Advice
  • Implementation of a Compliance Calendar
  • Pre-Review of Regulatory Filings
  • Annual Compliance Reviews
  • Annual Supervisory Reports (FINRA Rule 3120)
  • Anti-Money Laundering Tests (FINRA Rule 3310)
  • Annual Advisor Reviews (SEC Rule 206(4)-7)
  • Branch Office Inspections
  • Monthly and/or Quarterly Compliance Testing
  • Targeted Forensic Testing (OBAs and PSTs)
  • Employee Compliance Training and Education
  • Maintenance of Policies and Procedures
  • Drafting of Forms, Templates and other Practice Management Tools
  • Electronic Communication Surveillance
  • Marketing and Advertising Reviews
  • Code of Ethics Administration
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Testimonials

Customer Experiences That Inspire Confidence

From the outset, Scott has demonstrated a deep command of the regulatory framework governing broker-dealers. His guidance thus far has been practical, timely, and clearly informed by real-world regulatory experience. It has already helped us strengthen our compliance program while remaining focused on business efficiency.

Current B/D - RIA Client

What will differentiate M Right Consulting is the firm’s ability to translate complex regulatory requirements into straightforward, executable solutions. They will act as a true partner, not just an advisor, and helped firms manage regulatory risk without slowing any growth initiatives.

Financial Services Executive

The understanding of FINRA examination priorities was immediately evident. Scott has identified gaps that our internal team has overlooked and provided clear, actionable recommendations. We are better prepared for regulatory scrutiny as a result of this work.

Current B/D Client

From all the years I’ve known Scott, he will bring a disciplined, regulator-minded approach to each and every compliance review. His insights will be pragmatic, well-reasoned, and aligned with current regulatory and enforcement trends. I would view Scott as a trusted resource and would not hesitate to engage his firm.

Former Chief Compliance Officer