Wealth and asset management firms face the prospect of prolonged economic uncertainty and market volatility, along with the pressures of rapidly changing regulatory and tax compliance requirements. Meanwhile, clients and investors demand more value and service, with increased transparency along with exclusive investment opportunities and robust returns.
Meeting heightened expectations requires a watchful eye on what lies ahead and a tight grip on operations. DHG provides both, with customized assurance, tax and advisory services for firms working with a diverse range of investments including:
Regulators are actively interested in the alignment of firm and investor interests, with FINRA sharing information with other securities and banking regulators, including the SEC and MSRB. You need defined, standardized systems and processes to provide the documentation regulators and investors want to see.
DHG provides single-source support with comprehensive assurance, tax and advisory services. Integrating these resources improves our cost-efficiency and responsiveness to help you anticipate market and regulatory changes instead of reacting to them. As a firm registered with the Public Company Accounting Oversight Board, DHG meets SEC, FINRA, and Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA) requirements to serve as your advisor. The SEC has enforced the Custody Rule, with substantial fines for investment management firms and chief compliance officers who overlook surprise custody examinations. We offer the following services:
DHG professionals understand the business challenges your company faces, as well as the best systems and controls to meet them.
Business, Finance and Process Transformation
DHG provides services that help companies successfully create and drive change. Our comprehensive approach to project definition, resourcing, communication, and support requires that we engage the right resources to accomplish strategic objectives.
Internal Audit and Compliance
DHG’s Internal Audit and Compliance teams, dedicated to assisting clients better manage their risks, are focused on assessing, designing, and developing risk management programs and internal control processes. Our team offers risk-focused insight, facilitation of secure internal controls, assistance in regulatory compliance and increased internal performance and effectiveness.
DHG provides technology services designed to assist a company’s team in advancing strategic initiatives. We assist clients in assessing IT risks, systems and operations, and in addressing regulation and compliance requirements.
Regulatory Services and Risk Management
DHG helps asset management companies manage and implement change driven by new regulations and strategic risk management objectives. Our compliance services help support appropriate response to matters of non-compliance and integration into existing risk management frameworks.
Our risk-based audits deliver an objective, independent view of your organization and its financial statements in accordance with required industry standards.
SOC 1 and 2 Services
We perform Service Organization Control (SOC) reports for financial services firms of various sizes, including investment management firms, wealth management and trust entities. These reports can meet your internal requirements and serve as assurance to current and prospective investors of your ability to protect confidential data.
Tax compliance and advisory – DHG has the experience you need to minimize tax exposure, avoid non-compliance penalties and outsource the tax function. We streamline tax compliance with the same cost-effective, resourceful mindset we bring to every service by integrating tax planning with your total financial plan.
These services include: