Services
Dempsey Compliance Consulting provides practical regulatory compliance support across the investment adviser lifecycle — from initial registration and program development to ongoing compliance, annual reviews, regulatory examinations, and project-based support.
Services may be tailored to fit a firm’s business model, stage of growth, regulatory needs, and internal resources.
Registration & Program Development
Support for firms launching or registering an investment adviser business, including:
SEC and state investment adviser registrations
Form ADV preparation and filing support
Compliance manual and Code of Ethics development
Form CRS preparation, as applicable
Initial compliance calendar and implementation support
Policies and procedures tailored to the firm’s business model
Regulatory and operational readiness support
Ongoing Compliance Support
Practical support for day-to-day and recurring compliance obligations, including:
Regulatory filings and amendments
Policies and procedures updates
Marketing and advertising compliance review
Compliance calendar support
Regulatory change implementation
Periodic compliance guidance and strategic consultation
Support for evolving business activities and advisory models
Annual Compliance Reviews
Structured annual review support designed to evaluate the effectiveness of the firm’s compliance program, identify gaps or inconsistencies, and prioritize enhancements.
This may include:
Annual compliance program review
Risk assessment support
Testing of key policies and procedures
Review of regulatory filings and disclosures
Identification of material gaps or inconsistencies
Written findings and recommended enhancements
Regulatory & Project Support
Project-based support for firms facing discrete regulatory or compliance needs, including:
Regulatory examination readiness and response support
Compliance program development and enhancement
Regulatory filing projects
Marketing and advertising compliance reviews
New product, service, or business model reviews
Special regulatory projects and implementation support
Services may be provided on a standalone, project-based, or ongoing basis depending on the firm’s needs.