Compliance Services

DMS delivers a suite of regulatory compliance services tailored to the needs of investment managers, registered investment companies, hedge funds/alternative investment products, money managers and exchange-traded funds/vehicles. We establish long-standing relationships with global service providers in the investment management industry, ensuring that our shared clients receive consistent, high-quality services. Our approach to promoting compliance excellence is achieved through the diverse experience and knowledge of our trusted and dedicated compliance professionals coupled with the strategic oversight of senior management.

ADVISER CCO / CONSULTING SERVICES

Our outsourced adviser CCO solution reflects our understanding of the compliance concerns surrounding
registered investment managers of private funds and hedge funds, as well as the daunting task for
investment managers to establish required compliance oversight of a firm’s operations. DMS provides an
extensive suite of compliance services and strategic oversight for managers of private funds and hedge
funds, thus allowing for managers to focus on their unique business expertise as investment and trading
professionals.

DMS will provide a qualified individual to serve as the Adviser CCO or assist the Adviser’s
CCO who will:

  • Draft and file Annual Form ADV amendment;
  • Conduct periodic reviews of the Adviser’s Compliance Program to incorporate new or amended regulations, best practice recommendations or other guidelines that may be appropriate to its operations;
  • Conduct annual training for all personnel regarding the Adviser’s Compliance Program, including but not limited to Code of Ethics and Insider Trading;
  • Perform testing of certain compliance procedures, including collecting and organizing relevant compliance data and reviewing reports, investigating exceptions, and making inquiries of management and the service providers (where applicable);
  • Monitor Code of Ethics activities;
  • Oversee the Adviser’s maintenance of required books and records pursuant to Rule 204-2;
  • Conduct the CCO’s annual compliance review which will assess the adequacy and effectiveness of the firm’s compliance program as required by Rule 206(4)-7;
  • Provide support during regulatory examinations; and
  • Conduct site visits to the Adviser as agreed upon.

KEY CONTACTS

Wade Boylan

Wade Boylan

Executive Director - Compliance Regulatory Services