Services

Compliance

DLA offers a full service approach to securities regulatory compliance.  Our method has been developed based on our experience, our clients’ needs and our ability to navigate a constantly changing regulatory environment.  DLA’s suite of advisory services enables clients to leverage our expertise and to develop a strong culture of compliance. 

The following enumerates our suite of services:

Compliance Operations

Infrastructure Development, Review and Updating Services
Getting the fundamentals right is integral to establishing a sound compliance environment.

  • Registration Advisory
  • Policies and Procedures Development 
  • Surveillance 
  • Training
     

Compliance Inspections

Risk Assessment, Identification and Testing Services
Our proactive process is designed to reinforce the effectiveness of an organization’s systems and controls.

  • Annual Reviews 
  • Compliance Infrastructure Testing 
  • Audit and Quality Assurance - Key Performance Indicators 
  • Mock Regulatory Exams 

 

Compliance Advisory

Ongoing Monitoring and Advisory Support Services
Ongoing monitoring and advisory support services enable an organization to maintain the dependability and integrity of its compliance program.

  • Best Practice Recommendations 
  • Ad Hoc Support 
  • Regulatory News and Updates 
  • Regulatory Inquiry Assistance 
  • Structural Reorganization 

To request further information on DLA’s compliance services, please contact Alan E. Scholnick at 646 380 2461 or alan.scholnick@dlallc.com.