|
NICSA – D.M.R. Compliance Research
In 2004, as the securities industry braced for far-reaching compliance
regulations effective October 6, D.M.R. partnered with the National
Investment Company Service Association (NICSA) to create a series of
research projects.
These projects, based on surveys directed to industry professionals,
help members of the investment community --
- Benchmark their compliance budgets and staffing plans against those of industry peers.
- Exchange ideas about resources, tools and strategies necessary
to ensure the success of a compliance program.
- Obtain concrete insights and observations to help them identify and adapt industry best practices.
PA Compliance is the primary underwriter for the program,
offered by D.M.R. in partnership with the National Investment Company Services Association – NICSA. PA
Compliance provides compliance and legal expertise and counsel, financial support and other management
assistance to D.M.R. We also appreciate the support of our other sponsors, including
Access Data, Envision,
SalesLink, and Unified Fund Services
The first project, "Compliance 2004", attracted participants from more than
150 securities firms and its findings were widely reported in the industry press.
Our survey program is ongoing and we have scheduled reports on six topics for 2006.
For more information about Financial Services Compliance Surveys
What the press says: Compliance Research in the News
Keep informed:
|
