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.

Money Managers

DMS understands the compliance concerns surrounding money managers, as well as the daunting task for investment managers to maintain the needed compliance oversight of a firm’s operations.  DMS provides an extensive suite of compliance services and strategic oversight for money managers, thus allowing for managers to focus on their unique businesses.  DMS’s expert attorneys and compliance professionals can provide the analysis needed to strengthen and enhance your compliance program in order to control and manage regulatory liability, as well as address operational risk areas within your organization.

We will:

  • Assist with SEC registration and filing of Form ADV (See Registration Consulting Services)
  • Conduct periodic reviews of the compliance program to incorporate new or changed regulations or best practice recommendations as appropriate

Risk assessment and gap analysis with heightened attention to:

  • Registration and filings
  • Valuation/best execution/trade management
  • Conflicts of Interest
  • Code of ethics/personal trading review
  • Anti-money laundering review
  • Specialized reviews, compliance assessments and regulator-mandated consulting

Mentoring and advisement on the role of the CCO:

  • Assist with the drafting of CCO reports and establishing compliance calendars
  • Provide analysis on how new/revised regulations affect the firm’s business
  • Conduct mock regulator examinations (See SEC Mock Audit Services)
  • Assist with vendor/service provider selection, oversight and due diligence
  • Assist with conversion of registered funds to registered investment companies

Support your in-house CCO

We provide services to support your in-house CCO:

  • Tasked based support
  • Supplement your compliance weaknesses
  • Moments notice request for support throughout the year

KEY CONTACTS

Wade Boylan

Wade Boylan

Executive Director - Compliance Regulatory Services