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.
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
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