Our Services
DCS starts from the philosophy that our services differ from traditional consulting in that we act as a team member and compliance department in your organization.
About CCO Services
The CCO level is DCS’s fully outsourced compliance solution. This includes the provision of compliance policies, procedures, and practices as required under Rule 206(4)-7 of the Advisers Act, as well as a DCS-appointed team member serving as individually named Chief Compliance Officer at a regulatory level. Our service model is designed for our team to function as a member of your team—serving and acting much the same as “traditional” internal personnel would. Some key facets of DCS’s full CCO solution are:
- Individually Named Chief Compliance Officer
- Establishment, Implementation, Maintenance, and Administration of the Compliance Program including all Policies & Procedures
- Completion of Regulatory Filings
- Provision and Maintenance of a Compliance Calendar embodying the Policies & Procedures
- Regulatory Examination Supervision
- Annual Firm Compliance Review
- Employee Compliance Training
Compliance Oversight
- Code of Ethics
- New Client Onboarding
- Portfolio Management & Investment Activities
- Trading & Best-Execution
- Proxy Voting
- Privacy (Reg S-P)
- Solicitors and Referral Programs
- Business Continuity & Cybersecurity
- Recordkeeping
- Firm Registration
- Red Flags Rules
Compliance Reviews
- Email, Texting, Social Media
- Marketing & Advertising
- Opened & Closed Accounts
- Suitability
- Custody
- Trade Blotters & Trade Errors
- Disclosure Delivery