Risk Management and Compliance
At DLA, our Risk Management and Compliance experts address the following requirements for financial services institutions.
We have nearly two decades servicing:
- Investment Advisors, Municipal Advisors and Investment Companies
- Commodity Trading Advisors, Commodity Pool Operators, Futures Commission Merchants, and Swap Dealers
- Investment Banks and Wealth Managers
- Private Equity Firms
- Banks and Custodians
- Real Estate Investment Firms
- Law Firms
Our professionals are skilled in the rules and regulations of:
- AML Regulations spanning the United States, European Union, and Asia
- U.S. Foreign Corrupt Practices Act (FCPA) and United Kingdom Anti-Bribery Act
- Privacy Regulations spanning the United States and the European Union
- U.S. Securities Markets: Securities Exchange Commission (SEC), Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA)
- U.S. Commodities Markets: Commodities Futures Trading Commission (CFTC) and the National Futures Association (NFA)
- U.S. Banking Industry: Federal Reserve Bank (FRB), Office of the Comptroller of the Currency (OCC), Consumer Financial Protection Bureau (CFPB), and the New York State Department of Financial Services (NYSDFS)
- European Union Directives and Regulations
Our services include:
As we rely more heavily on technology, the internet and new financial products such as cryptocurrencies, the probability and severity of financial crime continues to increase. As a result, financial crime continues to be one of the largest threats to financial institutions. The impact is more than monetary; financial crime can cause serious reputational damage that adversely affects growth and customer retention. In response, governments have taken a larger role, increasing regulations and sanctions in recent years. Financial services institutions need to respond effectively and take proactive steps in the selection and onboarding of clients.
Our privacy compliance experts can assist your firm to navigate the U.S. and Global Data Privacy requirements.
Companies today are up against incomparable obstacles in the face of an explosion of complex financial and operational regulations. Scrutinizing and managing compliance with these laws can not only be all-consuming but often daunting as constant monitoring of regulations can be overwhelming. However, the cost of non-compliance, is significant, ranging from fines to irreparable damage to your firm’s brand reputation.
Securities fraud, also known as stock fraud and investment fraud, is a deceptive practice in the stock or commodities markets, that induces investors to make purchase or sale decisions that are based on false information, frequently resulting in losses that are also in violation of securities laws.
At DLA, our IT Technology Risk Management team brings in-depth knowledge about how to secure your business and can help you manage your governance, risk, and compliance requirements. We can customize and suggest the right cost-effective solution to help govern and increase operating efficiencies. Our holistic approach helps produce results based on our expertise, evaluating and measuring the technological drivers to enhance profitability and productivity.