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.

NFA/CFTC Compliance

DMS provides compliance services to Commodity Pool Operators (CPOs)/Commodity Trading Advisers (CTAs) and National Futures Association (NFA)-registered entities. Our services are tailored to our specific client’s needs while also helping them meet NFA and Commodity Futures Trading Commission (CFTC) regulatory standards.

We will also act as the your outsourced NFA CCO to help meet the needs of clients and business partners in this space.

Stage 1- CPO/CTA Registration

  • Assist with your entity’s registration as a CPO or CTA and the registration of personnel to become Principals and/or Associated Persons of the CPO/CTA.
  • Assist in annual renewal filings to secure exemptive relief relevant to the CPO/CTA’s organizational structure/operating environment.

Stage 2 – Develop a CPO/CTA Compliance Program

  • We will work with your firm to develop Written Supervisory Procedures (WSPs) and a customized Compliance Program Risk and Organizational Matrix for each of your commodity pools.
  • If you have an existing compliance program that requires modification to incorporate rules and regulations of a CPO/CTA, we will conduct a gap analysis aimed at leveraging your firm’s existing policies and procedures. This will allow you to administer a robust compliance program while avoiding the costly, fixed expenses associated with hiring in-house compliance specialists and attorneys.

Stage 3 – On-going CPO/CTA Compliance Consulting

We will assist you with your specific compliance needs, including each CPO’s/CTA’s annual & quarterly NFA obligations, in addition to:

  • Annual questionnaires and registration updates.
  • PQR Filings.
  • Self-examination checklists.
  • Business continuity reviews.
  • Full compliance training.
  • Quarterly CPO filings.
  • Financial statement filings.
  • Mock NFA examinations.
  • Full Compliance training

KEY CONTACTS

Wade Boylan

Wade Boylan

Executive Director - Compliance Regulatory Services