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
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
Apr 18,2024
Observations from Internet Adviser Registration Reforms
On March 27, 2024 the Securities and Exchange Commission (“SEC”) adopted amendments to Rule 203A-2(e) under the Investment Advisers.
Insights
Apr 12,2024
SEC Enforcement: Senvest Management Enforcement Action – Electronic Communications
The Securities and Exchanges Commission (SEC) has announced a settled Administrative Proceeding with Senvest Management LLC (“Senvest”). Pursuant to.
Alerts