Compliance Services
DKA is dedicated to providing customized compliance solutions to registered investment advisers and broker-dealers.
Our services are designed to help you navigate a challenging regulatory environment. Customized solutions can be designed to include any of the following service offerings:
Compliance Program Guidance & Support
Compliance Policies & Procedures
- Investment Adviser – Compliance Manual
- Broker-Dealer – Written Supervisory Procedures
- Anti-Money Laundering Program
- Code of Ethics
- Business Continuity Plan
- Privacy Policy
Compliance Program Testing & Reviews
- Annual Compliance Program Review & Report
- Program Calendar
- Marketing Reviews
- Policy & Procedure Reviews
Consulting Services
- Regulatory Updates (Priorities, Enforcements, & Rules)
- Advertising & Marketing
- Employee Heightened Supervision
- Customer Complaints
- Regulatory Disclosures
Continuing Education
- Regulatory & Firm CE
- Annual Compliance Meeting
Code of Ethics Program Administration
- Quarterly Certifications
- Annual Certifications
- Conflicts of Interest
Registrations and Regulatory Filings
- Form ADV
- Form BD
- Form CRS
- FINRA 4530
- And more
Special Projects
Hourly Consulting Engagements
Mock Regulatory Examinations
- SEC
- FINRA
New Firm Registrations
- Investment Advisers (SEC or State)
- FINRA New Member Application
FINRA Continuing Membership Application
- Changes in Ownership or Control (e.g., mergers and acquisitions).
- New Business Activities/Products Offered
- Branch Office or Registered Personnel Increases
FINRA Annual Independent AML Audit
Hourly Consulting Engagements
Regulatory Examinations, Enforcements, and Inquiries
- SEC
- FINRA
- State
Independent Compliance Consultant Services
- Regulatory Enforcements
- Targeted Investigations & Reviews
- Due Diligence Projects
On Demand Consulting Services
Short Term Resource Needs
Contact us for any of your regulatory compliance needs.
We look forward to hearing from you!