Some of our services

We offer a complete array of services to registered investment advisers and investment companies, including, but not limited to, the following:

Mock-SEC Examinations:
Our review services are designed to assist clients in assessing their “compliance health” and preparing for live SEC inspections. Because our review teams are staffed with seasoned former SEC Examiners with significant in-house experience, the result is a service that not only highlights potential issues, but also offers practical solutions. Read more...

Annual Compliance Reviews
The Advisers Act requires each registered adviser to review its policies and procedures at least annually to determine their adequacy and the effectiveness of their implementation. Our unique blend of SEC examination and industry experience enables us to provide each client with a complete and useful review experience. Read more...

CCO Supporter Program:
Our CCO Supporter program is an ongoing service that provides registered investment advisers and investment companies with continuous support in meeting their regulatory requirements. This program is designed to relieve our clients of the burdens of building and maintaining comprehensive compliance programs. Read more...

Policy & Procedure Development:
We offer a complete array of compliance policy and procedure evaluation and development options, from targeted procedure development to complete diagnostic evaluations and updates of all compliance policies and procedures. Read more...

Compliance Education & Training:
In our experience, proper training is a critical tool in managing potential compliance risks. Consequently, we offer a wide variety of investment adviser and mutual fund compliance training programs tailored to meet each client’s specific needs. Read more...

Adviser Start-Up Package:
A newly registered investment adviser is likely to experience an SEC Examination within its first year of operations. Our Adviser Start-Up Package is designed to ensure that new advisers are well positioned to meet the obligations that arise from registration with the SEC. Read more...

Hedge Fund Assurance Reviews
Our Compliance Assurance Review is designed to provide our clients with a valuable tool in communicating the breadth and depth of their compliance control processes to critical constituencies, including investors, regulators and other interested parties. Read more...

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. Read more...