Compliance Services

Infrastructure Development and Implementation Services

Compliance Operations provide registration advisory for your firm and employees, initial filings & amendments, preparation of compliance manuals, code of ethics and assistance with:

  • 1017 Applications
  • Form ADV, Parts I & II
  • Web CRD
  • Web IARD
  • Form PF

DLA will develop, implement and analyze your compliance program. We will review policies and identify risks within your current compliance infrastructure and assist with remediation.

Risk Assessment, Identification and Testing Services

Providing regulatory exam support to our clients is an integral part of our approach. Targeted regulatory testing, including mock audits in conjunction with SEC & FINRA exam priorities, allow DLA to analyze your current compliance program. After testing, we will deliver a detailed report of risks or gaps, enabling you to pro-actively manage your compliance program.

Compliance inspections conduct or assist with annual regulatory reporting requirements such as:

  • Rule 38a-1 report
  • Rule 206(4)-7 review
  • Rule 3012
Ongoing Monitoring and Advisory Support Services

Monitoring and support is a key component to maintaining a compliance program. DLA implements comprehensive compliance software to minimize hard copy documentation. We are also available to assist firms with regulatory inquiries and update clients with regulatory news and changes. DLA’s Ongoing Monitoring and Advisory services for Broker-dealers and Registered Investment Advisers include:

  • Compliance Software Solutions
  • Outside Business Activities
  • Personal Trading (Employee)
  • Private Securities Transactions
  • SEC Cybersecurity Guidance