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Executive
Coaching / Dispute Resolution /
MFDA Compliance Resource
Kegie Consulting Corp.
specializes in providing practical solutions to any industry’s
regulatory relationship challenges; but brings in-depth experience
in the mutual fund industry and the challenges that industry’s
participants’ face.
Consultations may include an agreement to:
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Review regulatory
audit reports and assist in responding appropriately and fully
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Review existing policies
and procedures for compliance with regulation and industry best
practices and make recommendations for change
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Develop or redesign a
strategy for ongoing risk management
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Advise on the impact of
proposed regulation
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Based on a review of
policies and procedures, make recommendations for training
and/or seminars for various groups e.g. Board of Directors,
sales representatives, compliance staff, etc.
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Develop branch
audit strategy; execute branch/sub-branch audits and provide
recommendations report
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Assist with
dispute and complaint resolution
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Resource on Retainer
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Manual
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Websites
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Advertising
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Cooperative Marketing
Services may be tailored to
meet the needs of the individual client.
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