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
Sep 14,2023
SEC Division of Examinations Alert to Investment Advisors: Assessing Risks, Scoping Examinations and Requesting Documents
The SEC Division of Examinations (the “Division”) issued a Risk Alert on September 6, 2023 that describes the Division’s.
Alerts
Sep 14,2023
SEC Enforcement Actions Related to the Marketing Rule and Hypothetical Performance Data
On September 11, 2023 the SEC announced settled Administrative Proceedings with nine investment advisers for advertising hypothetical performance to.
Alerts
May 05,2023
SEC Division of Examinations Risk Alert: Safeguarding Customer Records and Information at Branch Offices
The SEC Division of Examinations (“Examinations”) issued a Risk Alert on April 26, 2023 to highlight the importance of.
Alerts