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 Services

The CCO level is DCS’s fully outsourced compliance solution. This includes the provision of compliance policies, procedures, and practices as required under Rule 206(4)-7 of the Advisers Act, as well as a DCS-appointed team member serving as individually named Chief Compliance Officer at a regulatory level. Our service model is designed for our team to function as a member of your team—serving and acting much the same as “traditional” internal personnel would. Some key facets of DCS’s full CCO solution are:

  • Individually Named Chief Compliance Officer
  • 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 Supervision
  • Annual Firm Compliance Review
  • Employee Compliance Training

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Compliance Oversight

  • 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
  • Firm Registration
  • Red Flags Rules

Compliance Reviews

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

Find out how compliance can do more for your business, connect with DCS today.