DLA- Internal Audit Forensic Accounting

Investment Adviser Services

DLA Helps Investment Advisers Meet Their Compliance Obligations

Given DLA’s long standing relationships with many of the leading investment advisers and in-depth knowledge of their associated investment products, DLA is well suited to help Investment Advisers meet their regulatory obligations as promulgated by the SEC.  Whether you are a first time registrar preparing to meet the new Dodd-Frank requirements or an industry veteran, DLA can tailor a compliance program to fit your needs.  

• Registration and Licensing
  
  1. Form ADV
  2. Form PF
  3. State Registration
• Code of Ethics
  
  1. Access Persons
  2. Pre-Clearance
  3. Restricted Lists
  4. Blackout Periods
  5. Employee Education & Acknowledgment
• Written Disclosures and Quarterly Reports
  
  1. Brochures
  2. Schedule H
  3. Form 13F
• Communications with the Public
  
  1. Advertising
  2. Use of Solicitors
• Information Barriers
  
• Supervision and Internal Controls
  
  1. Employee Activities
     
     • Personal Trading
     • Political Contributions
  2. Business Activities
     
     • Trading Practices
     • Portfolio Management Processes
  3. Custody of Client Assets
     
     • Proxy Voting
• Compliance Manuals
  
  1. Risk Analysis
  2. Monitoring and Testing
  3. Annual Review
  4. Employee Training
• Books and Records
  
• Privacy Protection
  
• Business Continuity Plan
  
• Anti-Money Laundering