Compliance Services

Compliance Program Development and Implementation Services

DLA can help your firm with or perform your SEC, FINRA and NFA registration. Along with registration services we have the knowledge to design a world class compliance program. This includes the preparation of compliance manuals, a code of ethics and assistance with the following:

  • 1017 Applications
  • Form ADV, Parts I & II
  • Web CRD
  • Web IARD
  • Form PF
Risk Assessment, Identification and Testing Services

The global regulatory ecosystem has become significantly more dynamic since the financial crisis. Long gone are the routine exams with predictable questions and programs. Therefore, getting a fresh perspective from an experienced third party can be an important risk mitigation tool. DLA can give you that perspective by providing regulatory exam support, targeted regulatory testing and mock SEC and FINRA examinations. Allow DLA to analyze your current compliance program. After testing, we will deliver a detailed report listing your risks and gaps, thereby enabling you to effectively prepare your firm for a regulatory review.

DLA can help your compliance staff with inspections, conduct or assist with annual regulatory reporting requirements such as:

  • Rule 38a-1 report
  • Rule 206(4)-7 review
  • FINRA Rule 3120
Ongoing Monitoring and Advisory Support Services

Monitoring and support is a key component to maintaining a compliance program. DLA can help you implement comprehensive compliance software to minimize hard copy documentation and improve efficiency. DLA also has a commitment to keep its clients informed with timely regulatory news and changes. DLA’s suite of services:

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

Our experienced staff will help your firm’s compliance program keep up to date in this dynamic regulatory environment. We have the skills to reconcile your control environment against these changes and keep your compliance infrastructure ahead of the regulatory curve.

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.