Compliance


DLA’s team of compliance professionals is prepared to help your firm tackle its regulatory challenges. Our team has gathered its experience from a broad array of regulatory roles. From working at the SEC and FINRA to working in senior compliance roles in top financial service firms.

DLA understands the complexity of developing and maintaining a superior compliance program in a dynamic regulatory environment. Our team has developed a proprietary process that ensures the programs we design will evolve with any changes that affect the regulatory landscape and the growth of your business.

DLA Compliance offers a full-service approach to regulatory compliance. 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 DLA team works closely with your staff to create a bespoke compliance program tailored to the type and size of your firm. Our team prides itself on delivering this customized approach in a cost-effective manner with the confidence that it achieves the highest degree of effectiveness.

DLA’s client base spans the primary areas of the financial service environment and includes:

  • Broker-Dealers
  • Investment Advisors
  • Hedge Funds
  • Private Equity Funds
  • Real-Estate Advisors
  • Global Financial Institutions

This diverse client base has an equally diverse investment exposure. These include: fixed income, equities, futures, commodities, swaps, securitized loans and real property.

Disclaimer: DLA does not provide legal or tax advice, and the information provided is not a substitution for legal or tax advice. Consult an attorney regarding your specific legal or tax situation.