D.E. Scott Investment Management Compliance ServicesD.E. Scott Investment Management Compliance Services

Other D.E. Scott Services

Our unique blend of SEC and business experience is reflected in each of our service offerings. From Mock-SEC Examinations to training and development, we bring a significant depth and breadth of regulatory and industry experience to each assignment.

Today’s regulatory environment requires investment managers to be proactive in meeting their regulatory obligations.We understand that each organization faces its own unique challenges. To help meet those challenges, we offer tailored advisory services to meet firm-specific needs and priorities. Our customized services include, but are not limited to, the following:

  • Sub-adviser due diligence reviews;
  • Fund administration and transfer agency due diligence activities;
  • Focused training courses;
  • Targeted policy and procedure reviews and development;
  • Diagnostic and limited-scope reviews of selected activities;
  • Forensic compliance testing;
  • Marketing and advertising reviews;
  • SEC registration and filings assistance;
  • SEC Examination preparation/management; and
  • Other customized services.

To learn more, please contact David Scott by email at David.Scott@descott.com or by telephone at (646) 415-8159.