Services

The DLA Difference

An Insider's Perspective

  • Seasoned compliance professionals from leading Wall Street firms with proven track records 
  • Real world experience and practical knowledge gained by direct interaction with front office business units
  • Successfully created and implemented compliance infrastructures for various regulated and unregulated entities

In-Depth Knowledge of Financial Firms and Investment Products

  • Fixed Income
  • Equities
  • Futures
  • Commodities
  • Derivatives
  • Broker-Dealers
  • Registered Investment Advisers
  • Hedge Funds
  • Private Equity Funds
  • Swaps
  • Retail
  • Institutional
  • Complex Global Organizations
  • Bank Regulatory
  • Asset Management

Aligned Interests

  • An appreciation of the complementary relationship between compliance, legal and business objectives
  • Advocates for a pragmatic, straightforward and pro-business approach to compliance

Proactive vs. Reactive

  • Educate firms on the significance of taking preventative measures to reduce exposure to risk
  • Identify the synergies that enhance the relationship between industry best practices and rules and regulations
  • Utilize risk assessment techniques to identify and mitigate regulatory gaps

Customized Solutions that are Cost Effective

  • Enable firms to develop a compliance program scaled to their type and size
  • Design compliance programs that organizations can trust and embrace
  • Provide independence not compromised by being an extension of a compliance software developer

 

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