COMPLIANCE SOLUTIONS THAT WORK
As Part Of Your Team
DCS provides compliance solutions that go beyond traditional consulting, with our team acting and serving like a member of yours.
Contact UsCompliance Solutions
DCS offers a full suite of compliance services and solutions for investment advisers that are designed with business in mind. Discover more about the DCS difference and compliance that works as hard as you do.
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Who We Serve
DCS provides services to investment firms of many shapes and sizes. Specializing in Advisers Act registrants, we leverage experience across the many niches and nuances of the investment advisory realm to deliver durable and robust compliance solutions to:
- Wealth Managers
- Portfolio Managers
- Municipal Advisers
- ’40 Act Fund Advisers
- ERISA Advisers
- Private Funds
- Hedge Funds
- TAMP’s
- and more…
145+
YEARS OF COMBINED CCO-LEVEL EXPERIENCE
120+
REGISTERED INVESTMENT ADVISORS
$100B+
ASSETS UNDER COMPLIANCE ADMINISTRATION
50+
REGULATORY EXAMS LED
Featured Resources
Oct 29,2024
Division of Examinations: SEC Fiscal Year 2025 Examination Priorities for Investment Advisers
On October 21, 2024, the Division of Examinations of the United States Securities and Exchange Commission (the “Division”) published.
Alerts
Sep 12,2024
SEC Enforcement Actions Related to the Marketing Rule
On September 9, 2024, the SEC announced it had settled Administrative Proceedings with nine investment advisers for violating the.
Alerts
Apr 24,2024
SEC Division of Examinations Risk Alert: Initial Observations Regarding Advisers Act Marketing Rule Compliance
On April 17, 2024 the Securities and Exchange Commission (“SEC”) Division of Examinations (the “Division”) issued a Risk Alert.
Alerts