Advising Clients Since 1992
Broker-Dealers
Investment Advisers
Hedge Funds/Private Equity Funds
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On Outsourcing Legal and Compliance: Remarks by David E. McClean at Infovest21 Symposium (Sponsored by DMA), July 14, 2009
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With years of experience consulting to financial services firms on regulatory matters, and its founder's knowledge of the private fund, broker-dealer, and investment management industries from both the outside and inside, DMA is uniquely positioned to assist you in your efforts to address your critical regulatory, compliance, registration, risk, product development and governance issues. DMA's consulting practice is focused, especially though not exclusively, on the small or start-up organization seeking cost-effective professional solutions.
The founder of DMA, David E. McClean, Ph.D., has served in senior positions with hedge funds, broker-dealers and investment management businesses, including as Chief Compliance Officer. He is expert in the formation of on-shore and off-shore funds, broker-dealers, and investment advisers, and has a complete knowledge of all of the components of the management of each type of business. He has established a business model that utilizes the client's own internal resources, and emphasizes the reduction of the client's legal and accounting fees to the fullest extent practicable, quality deliverables and reasonable billing.
"We should not forget that compliance is a management function, regardless of the industry. It can be framed in different ways. I place compliance squarely in the frame of enterprise risk management. It's not about ethics, per se. It's about keeping the firm in a position to pursue its primary missions without painful disruptions. Avoiding painful disruptions is the domain of risk management. Everything I do for my clients I do from within that frame."
David E. McClean
Principal
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