Investment Management Compliance Services
D.E Scott & Associates is 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, we serve as a valuable resource in helping our investment adviser and mutual fund clients meet their compliance obligations.
Our senior team members are seasoned 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.
We offer a complete array of services to registered investment advisers and
investment companies, including, but not limited to, the following:
- Mock-SEC Examinations
- Annual Compliance Reviews
- CCO Supporter Program
- Policy and Procedure Development
- Compliance Training Presentations
- Forensic Compliance Testing
Other services are also available.
To learn more, contact David Scott by telephone at (646)415-8159 or by email at David.Scott@descott.com
D.E. Scott Highlighted Services and Events
Compliance Training Seminar Scheduled
DE Scott & Associates hosts its annual “Registered Investment
Adviser Compliance Training Seminar” on October 6-7, 2008, at the
Marriott Marquis Times Square, New York, NY.
(click here for event
brochure)
Mock-SEC Examination Services
Our review services are designed to assist clients in assessing their compliance health and in 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 about our Mock-SEC Examination