A little bit about D.E. Scott & Associates
We are a regulatory consulting practice specializing in SEC compliance requirements for registered investment advisers and mutual funds. Founded by David E. Scott in December of 2005, D.E. Scott & Associates serves as a valuable resource in helping its clients meet their compliance obligations
Our experienced team
Our senior team members are seasoned industry veterans with an average of 20 years of experience. The team brings significant regulatory and industry experience to each engagement, including 15 years of cumulative service as SEC Examiners and 45 years serving in internal and advisory roles for a variety of premier institutions
David E. Scott
Managing Member and
Senior Consultant
David Scott is the Managing Member and a Senior Consultant for D.E. Scott & Associates. Mr. Scott started his career in 1995 as a Securities Compliance Examiner with the Boston Regional Office of the U.S. Securities & Exchange Commission (SEC), where he conducted and managed regulatory examinations of investment advisers, hedge funds, mutual funds, and transfer agents. Since his service with the SEC, Mr. Scott has provided compliance services to a variety of investment management organizations, serving in both internal and advisory capacities. Mr. Scott has also provided training on a variety of compliance topics to industry participants and SEC regulators, and is routinely asked to provide input on topical compliance issues for a number of industry publications, including the Journal of Investment Compliance and the Compliance Reporter.
Kenneth C. Karcher
Director and Senior
Consultant
Kenneth Karcher serves as a Director and Senior Consultant for D.E. Scott & Associates. Mr. Karcher offers over thirty years of investment management industry experience and has served in a variety of roles, including ten years as a Senior Examiner with the SEC’s Boston Regional Office. During his tenure with the SEC, Mr. Karcher managed the field examinations of a large number of mutual funds, investment advisers, fund transfer agents, and played a significant role in the training and development of SEC staff members currently serving in senior examination capacities. In his current role, Mr. Karcher’s regulatory and industry experiences are integrated into many of our service offerings, including our mock-SEC examination services and our CCO Supporter program.
Michael J. Philipps
Director and Senior
Consultant
Michael Philipps serves as a Director and Senior Consultant for D.E. Scott & Associates. Mr. Philipps offers investment compliance and operations expertise and insights resulting from twenty years of investment management industry experience. Mr. Philipps’ extensive background includes senior positions in compliance, fund administration, financial accounting, share holder services, and trading and brokerage operations for several premier financial services organizations, including State Street, Bisys Fund Services, Merrill Lynch, and Sanford Bernstein. In his current role, Mr. Philipps’ expertise is incorporated into several of our service offerings, including our service provider due diligence programs, policy and procedure development services, and our CCO Supporter program.