Join the growing number of
broker-dealers, investment advisers
and funds using CompliPort as part
of their compliance programs. . . .
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| What is CompliPort?
CompliPort is a service of David E. McClean & Associates and the DMA Consulting Group. It is a simple tool that establishes a compliance calendar and facilitates compliance reviews and reporting for broker-dealers, investment advisers, hedge funds, mutual funds and other financial services firms. For each user firm, a suite of reports is created and accessible via a central gateway. The various reporting templates are populated with a list of questions concerning compliance obligations relevant to that area of compliance (e.g., sales practices, registration, or net capital). Ancillary pages or links to specific rules, as well as firm policies and procedures may also be added to facilitate responses. Corporate Governance and Ethics pages can also be added. A virtually unlimited number of customized reports may be created for the user firm, depending upon its needs and preferred methods for reporting. For further information, click the FAQ tab, to the left.
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