DMS offers high-quality, fund governance through credentialed independent professionals leveraging advanced governance technology to serve investment funds. We are guided by the four pillars of investor protection in delivering a fast, reliable and accurate service to investment funds of all types and sizes.
Principal and Agency cross transactions are a valuable tool for investment managers, however, they also present high inherent risks.
No one standard set of policies and procedures will address the requirements established by the Compliance Rule for all advisers because each adviser is different, has different business relationships and affiliations, and, therefore, has different conflicts of interest. Given that the facts and circumstances that can give rise to violations of the Advisers Act are unique for each adviser, each adviser should identify its unique set of risks, both as the starting point for developing its compliance policies and procedures and as part of its periodic assessment of the continued effectiveness of these policies and procedures.
Our Independent Representative services help you to effectively develop and execute this process.