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David E. McClean & Associates // DMA

The DMA Consulting Group has served the financial services community for over a decade, assisting firms from all over the world to establish U.S. operations.

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David E. McClean & Associates // DMA | dmaconsultinggroup.net Reviews
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The DMA Consulting Group has served the financial services community for over a decade, assisting firms from all over the world to establish U.S. operations.
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2 broker-dealer compliance
3 broker-dealer registration
4 business and management consulting
5 investment adviser compliance
6 hedge fund compliance
7 hedge fund start-up services
8 hedge fund regulation
9 Firm Element FINRA
10 investment adviser compliance
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David E. McClean & Associates // DMA | dmaconsultinggroup.net Reviews

https://dmaconsultinggroup.net

The DMA Consulting Group has served the financial services community for over a decade, assisting firms from all over the world to establish U.S. operations.

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1

David E. McClean & Associates // DMA

http://www.dmaconsultinggroup.net/hedgefunds.html

David E. McClean and Associates / DMA. Framing Compliance as Enterprise Risk™. DMA can help you with hedge fund start-up and compliance. Hedge funds are merely unregistered (and therefore "private") investment funds. Hedge funds may be tailored for sale to individual high net-worth investors, institutional investors, or both. Depending upon the preference, differing exemptions from registration under the securities laws will apply.

2

David E. McClean & Associates // DMA

http://www.dmaconsultinggroup.net/firmelementce.html

David E. McClean and Associates / DMA. Framing Compliance as Enterprise Risk™. These regulatory and other links can help you and your firm meet your Firm Element Continuing Education obligations, at virtually no cost. Resources like this are very useful for small firms:. New York Institute of Finance E-Learning and Classroom Course.

3

David E. McClean & Associates // DMA

http://www.dmaconsultinggroup.net/toolsandresources.html

David E. McClean and Associates / DMA. Framing Compliance as Enterprise Risk™. Research, Compliance &. FINRA Exam Prep Resources. Investment Advisers Act of 1940 -. Investment Advisers Act of 1940 -. FINRA Manual - On-Line. FINRA Glossary of Terms. Link to Statutes and Regs). Rule 605 Market Center Reports. SEARCH and REGISTRATION TOOLS. AEOI Portal (Cayman FATCA Reporting). FATCA Portal (Cayman Registration). FATCA FFI Search Tool. Cayman Islands Monetary Authority. Use for AML Compliance).

4

David E. McClean & Associates // DMA

http://www.dmaconsultinggroup.net/home.html

David E. McClean and Associates / DMA. Framing Compliance as Enterprise Risk™. We would like to help your broker-dealer or asset management. Business grow. We have decades of consulting experience to offer,. Ranging from compliance to general enterprise risk management. Let us know how we can be of service.

5

David E. McClean & Associates // DMA

http://www.dmaconsultinggroup.net/compliport.html

David E. McClean and Associates / DMA. Framing Compliance as Enterprise Risk™. CompliPort is a service of David E. McClean and Associates and the DMA Consulting Group.

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David E. McClean & Associates // DMA

David E. McClean and Associates / DMA. Since 1992, Framing Compliance as Enterprise Risk™. ValSol - ESG, CSR, SRI. We would like to help your broker-dealer or asset management business grow. We have decades of consulting experience to offer, ranging from compliance to general enterprise risk management. Let us know how we can be of service. Subscribe to our FREE Regulatory and Risk Roundup newsletter series, published weekly. Just enter "Subscribe" in the subject line.

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