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.

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About CCO-Lite Services

At the core, DCS’s CCO-Lite solution is equivalent to our full CCO offering. You get the same level of outsourced compliance services and support without the DCS-named Chief Compliance Officer. This is effective for firms that have or will appoint an internal team member as their named Chief Compliance Officer on a regulatory basis. A CCO-level team member will still be assigned by DCS as the RM for the engagement, and our team will still work and serve like a member of your team in all non-named CCO functions, while the named Chief Compliance Officer retains regulatory responsibility for the oversight of the compliance program. Some key facets of DCS’s CCO-Lite solution are:

  • 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 Support
  • Annual Firm Compliance Review
  • Employee Compliance Training

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Compliance Oversight

  • Firm Registration
  • 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
  • Red Flags Rules

Compliance Reviews

  • Email, Texting, Social Media
  • Marketing & Advertising
  • Opened & Closed Accounts
  • Suitability
  • Custody
  • Trade Blotters & Trade Errors
  • Disclosure Delivery

Find out what the DCS difference can mean for compliance in your business, connect now.