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.
SEC Mock Audit Services
DMS recognizes that regulatory audits are a regular and needed necessity of our business. DMS specializes in preparing clients to survive all regulatory audits through its SEC Mock Audit Services team. Our team is a seasoned group of compliance professionals who have participated in many regulatory audits. Following your DMS exam review your firm will be prepared and comfortable with what is expected when dealing with a regulatory audit. In addition, DMS will identify areas of deficiency prior to any examination.
DMS will provide the following services during the audit:
- Present a formal request letter to the designated client
- Review all applicable policies and procedures
- Review service providers and the due diligence that that is performed
- Interview select employees on their roles and responsibilities
- Identify any gaps and present a plan to rectify
- Provide a formal/confidential deficiency letter, if wanted.
Regardless of your firm’s experience or whether you have been through a previous exam, a Mock SEC Audit by our SEC Mock Audit Services team is an excellent way enhance your compliance program.