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.

Registered Funds (40 Act Registered)

Mutual Fund Outsourced Chief Compliance Officer Solution

Our Mutual Fund Outsourced Chief Compliance Officer Solution provides a highly qualified named CCO supported by a team of experienced compliance professionals.  DMS can save you time and money by reducing your full-time staffing needs while staying compliant with the regulatory bodies.

Our goal is to help directors and trustees feel confident that DMS’s Mutual Fund Outsourced CCO will help control and manage regulatory liability and prevent violations of federal securities law.

We provide a qualified professional to serve as the named CCO of your fund on a temporary or permanent basis. We will:

  • Review your compliance program and incorporate new or changed regulations.
  • Review your Quarterly Code of Ethics requirements.
  • Review the policies and procedures of the fund, advisers, sub-advisers and all applicable service providers.
  • Design or review the fund’s risk-based forensic testing program.
  • Perform and document forensic testing pursuant to the Investment Company Act of 1940, investigating and rectify exceptions.
  • Perform onsite due diligence visits to advisers, sub-advisers and all applicable service providers as necessary.
  • Prepare quarterly and annual CCO Reports for the Board and attend quarterly board meetings.
  • Maintain records comprising the fund’s compliance program.
  • Maintain a compliance calendar.
  • Inform personnel and service providers of compliance responsibilities.
  • Conduct Compliance training.

Support your in-house CCO

We can also provide services to support your in-house CCO on a temporary or permanent basis:

  • Tasked based support
  • Train new CCOs
  • Supplement your compliance weaknesses
  • Perform full CCO work behind the scenes but not registered as the CCO
  • Moment’s notice request for support throughout the year.

KEY CONTACTS

Wade Boylan

Wade Boylan

Executive Director - Compliance Regulatory Services