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…
170+
YEARS OF COMBINED CCO-LEVEL EXPERIENCE
140+
REGISTERED INVESTMENT ADVISORS
60+
REGULATORY EXAMS LED
$140B+
ASSETS UNDER COMPLIANCE ADMINISTRATION
Featured Resources
Feb 20,2025
SEC Enforcement Action Related to Account Type Conversions
On February 14, 2025, the Securities and Exchange Commission (“SEC”) published a settled Administrative Proceeding Order with One Oak.
Alerts
Jan 29,2025
SEC Enforcement Actions Related to Electronic Communications Recordkeeping Failures
On January 13, 2025 the U.S. Securities and Exchange Commission (SEC) announced settled Administrative Proceedings against three broker/dealers and.
Alerts
Jan 13,2025
Summary of Regulation S-P Revisions Applicable to Investment Advisers
On May 15, 2024 the SEC issued Release Nos. 34-100155; IA-6604 (the “Adopting Release”) providing for amendments to the.
Alerts