Modis

D.E. Scott Investment Management Compliance Services is a regulatory consulting practice based in New York, NY, specializing in SEC compliance requirements for registered investment advisers and mutual funds. Founded in 2005 by David E. Scott, the practice offers a comprehensive range of services, including mock-SEC examinations, annual compliance reviews, policy and procedure development, compliance training, and more. With a team of seasoned industry professionals, many of whom have served as Examiners with the SEC or FINRA, D.E. Scott Associates is dedicated to helping investment adviser and mutual fund clients meet their compliance obligations. D.E. Scott Associates also provides targeted services such as compliance assurance reviews for hedge fund managers, designed to communicate the depth of their compliance control processes to investors and regulators, as well as mock-SEC examination services to assist clients in assessing their compliance health and preparing for live SEC inspections. With a focus on practical solutions and a wealth of industry experience, D.E. Scott Associates is a trusted resource for investment management compliance.Generated from the website