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.

Anti-Money Laundering Services

DMS can assist you in ensuring you meet your Anti-Money Laundering (AML) compliance needs. We can also provide a qualified professional to serve as your outsourced fund’s AML Officer.

DMS’s Anti-Money Laundering Services

Anti-Money Laundering compliance involves knowing your clients, where the source of funds originates and determining the identities of all counterparties. With regulatory, reputational and financial implications, RIAs must ensure they are compliant with all rules and regulations. New ways to launder money and engage in other fraudulent activities are created each year and AML policies and procedures need to be updated and tested to protect your firm from this type of breach.

  • Provide a qualified AML Officer.
  • Draft or review the adequacy of the AML compliance policies and procedures to incorporate any new or changed regulations.
  • Design or review risk-based testing methods for the AML program’s policies and procedures.
  • Perform and document independent testing of AML program control procedures.
  • Provide initial/annual AML training.

KEY CONTACTS

Wade Boylan

Wade Boylan

Executive Director - Compliance Regulatory Services