Dinsmore Compliance Services (DCS), an affiliate of the national full-service law firm Dinsmore, offers compliance solutions for SEC registered investment advisers. DCS takes compliance beyond traditional consulting with integrated services that embody the compliance policies, procedures, and practices required under Rule 206(4)-7 of the Advisers Act, including fully outsourced Chief Compliance Officer (CCO) solutions. Unlike many consultants, our team is designed to function like a member of your own team. Some of the key areas our outsource CCO services solution covers are:
- Designated/named Chief Compliance Officer
- Establishment, Implementation, Maintenance, and Administration of the Compliance Program including all Policies & Procedures
- Completion of Regulatory Filings
- Provision and Maintenance of a Compliance Calendar embodying the Policies & Procedures
- Compliance Testing & Reviews
- Regulatory Examination Supervision
- Annual Firm Compliance Review
- Employee Compliance Training
Managed by principals with decades of experience, we offer clients the opportunity to outsource their CCO needs to experienced personnel, creating a more cost-efficient model and allowing business owners the ability to concentrate on what matters most to them.
In addition, DCS draws on Dinsmore’s deep bench and experience to provide further benefits to clients, including working closely with attorneys who concentrate in general corporate, M&A, ERISA, employment law, litigation and public finance matters.
Kevin Woodard has spent more than 25 years providing services to investment managers, broker-dealers, mutual funds/private funds and bank wealth management divisions. He has provided these services as in-house counsel as well as outside legal/compliance counsel. Kevin has served as CCO and chief legal officer for various investment advisers and broker-dealers.
Jeff Chapman, an experienced investment industry senior executive with more than 30 years of experience leading fixed income, foreign exchange, commodities, retail brokerage and interest rate management businesses, has a proven track record of building and growing profitable businesses from inception to maturity.