DLA- Internal Audit Forensic Accounting

Compliance Operations

Infrastructure Development, Review and Updating Services 

Getting the fundamentals right is integral to establishing a sound compliance environment. DLA offers assistance with the development, review and update of your compliance infrastructure. We will guide you through the registration process and help your firm cultivate the proper policies and procedures. DLA also provides surveillance and training services to ensure the longevity and efficacy of your compliance program. 

More specifically, our Compliance Operations services and capabilities include:

• Registration Advisory
  We offer assistance to both firms and employees throughout the registration process, ranging from the initial filing and form completions to preparing written disclosure documents. We lead investment advisers and investment adviser representatives through both SEC and state registration. We also guide brokers and dealers through FINRA registration requirements. 

• Policies and Procedures Development 
  We tailor compliance manuals, codes of ethics and business continuity and disaster recovery plans to fit your needs, as well as develop the proper safeguards to protect the privacy of your clients and produce required disclosure information.  We provide customized policies and procedures to oversee Trading, Operations, Supervision, Information Barriers, Insider Trading, Regulatory Reporting, Record Retention, Best Execution and Employee Activities. We also develop anti-money laundering policies and procedures around  “Know Your Client” and  “New Client Adoption” standards. 
   
• Surveillance 
  We assist in the development of your supervisory procedures and internal controls to oversee both firm and employee activities, such as personal trading and proprietary trading, communications with the public such as advertising pieces and emails, best execution, front running, market manipulation and short sales/reg SHO. 
   
• Training
  We understand the importance of continuing education and thus train employees in the policies and procedures in addition to rules and regulations. We also offer assistance with developing a firm’s needs analysis, training plans and training assessments to enhance the long-term efficacy of its compliance program.