Compliance


The development and maintenance of a superior compliance program in a dynamic regulatory environment is extremely complex. At DLA, we’ve developed a proprietary process that ensures our programs will evolve with any changes that affect that landscape of your business. Our clients have 100% confidence that their programs are current and constantly monitored.

DLA Compliance offers a full-service approach to securities regulatory compliance. Our experienced compliance specialists are able to seamlessly navigate through the complex and continuously evolving regulatory environment. Clients choose DLA Compliance because of our experienced staff, cross-platform expertise, diverse suite of compliance services, and experience in developing strong cultures of compliance.

The compliance programs that we develop can grow with your organization. Our compliance specialists work closely with the management of your organization to create programs specifically tailored to your organization type and size. DLA Compliance prides itself on delivering customized compliance solutions that are cost effective for your organization.

Our compliance team has in-depth experience with financial firms, including broker-dealers, registered investment advisors, exempt registered advisors, hedge funds and private equity funds as well as global cross-border institutions. With experience in these types of firms, their investment knowledge base includes fixed income, equities, futures, commodities, derivatives, bank regulatory and asset management.