Dziura Compliance Consulting, Llc
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- With expertise gained from years dedicated to the financial services industry, Dziura Compliance Consulting (DCC) professionals are specialists in regulatory compliance. At DCC, we provide compliance services to registered investment advisers (RIAs) and registered investment companies (RICs) ranging from providing compliance support to in-house CCOs to acting as the designated CCO on behalf of our clients. We strive to ensure that the compliance program of each of our clients satisfies their regulatory requirements and incorporates industry best practices. We understand that the structure and needs of each organization can vary. Our services can be tailored to meet your organizations specific needs. Our services include, but are not limited to: Drafting and maintaining compliance manuals Conducting formal initial and periodic compliance reviews Performing annual compliance reviews as required under Rule 38a-1 for RICs and Rule 206(4)-7 for RIAs Performing risk assessments and SEC mock exams Providing compliance training to organization personnel Assisting in regulatory filings Reviewing marketing material for compliance with applicable SEC rules Providing support during SEC exams
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Headquarters:309 Woodridge Lane , Media, Pennsylvania, United States
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Phone Number:
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Employees:4
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Revenue:$0 - 1M
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Legal Name:Dziura Compliance Consulting, Llc
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Dziura Compliance Consulting, Llc's Social Media
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| NAICS Code: 523110 |
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Frequently Asked Questions regarding Dziura Compliance Consulting, Llc
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Where are Dziura Compliance Consulting, Llc's Headquarters?
Dziura Compliance Consulting, Llc's Headquarters are in 309 Woodridge Lane ,Media,Pennsylvania,United States
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What is Dziura Compliance Consulting, Llc's official website?
Dziura Compliance Consulting, Llc's official website is https://www.dziuracomplianceconsulting.com
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What is Dziura Compliance Consulting, Llc's Revenue?
Dziura Compliance Consulting, Llc's revenue is $0 - 1M
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What is Dziura Compliance Consulting, Llc's NAICS code?
Dziura Compliance Consulting, Llc's NAICS code is 523110
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How many employees are working in Dziura Compliance Consulting, Llc
Dziura Compliance Consulting, Llc has 4 employees
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What is Dziura Compliance Consulting, Llc's Industry?
Dziura Compliance Consulting, Llc is in the industry of Financial Services
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Who is Dziura Compliance Consulting, Llc's Director Of Operations?
Dziura Compliance Consulting, Llc's Director Of Operations is Katherine Mcgovern
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Who is Dziura Compliance Consulting, Llc's Compliance Director?
Dziura Compliance Consulting, Llc's Compliance Director is Michael Dziura