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PA Compliance is known for offering reliable, cost-effective customer identification solutions for financial services companies, but this is just one part of the company's mission. We expanded our services in 2004 through sponsorship of a compliance survey program, designed to help compliance professionals in several ways:
PA Compliance is the primary underwriter for the program, offered by Diversified Management Resources (D.M.R.) in partnership with the National Investment Company Service Association - NICSA. As the primary underwriter, we provide compliance and legal expertise and counsel, financial support and other management assistance to D.M.R.
The first project, a survey about steps firms were taking to prepare for the October 2004 compliance programs requirements, attracted participants from more than 150 securities firms and its findings were widely reported in the industry press.
Studies completed in 2005 and 2006 include:
In Spring 2007, look for Operations Compensation survey
All surveys may be ordered through www.dmrfinancial.com.