Heather Nichols's Contact Details

Heather Nichols's Company Details

Dziura Compliance Consulting

Media, PA, US • 5 - 9 Employees
Financial Services

With expertise gained from years dedicated to the financial services industry, Dziura Compliance Consulting ("DCC") professionals are specialists in regulatory compliance. At DCC, we provide compliance services to registered investment advisers ("RIAs") and registered investment companies ("RICs") ranging from providing compliance support to in-house CCOs to acting as the designated CCO on behalf of our clients. We strive to ensure that the compliance program of each of our clients satisfies their regulatory requirements and incorporates industry best practices. We understand that the structure and needs of each organization can vary. Our services can be tailored to meet your organization's specific needs. Our services include, but are not limited to:• Drafting and maintaining compliance manuals• Conducting formal initial and periodic compliance reviews• Performing annual compliance reviews as required under Rule 38a-1 for RICs and Rule 206(4)-7 for RIAs• Performing risk assessments and SEC mock exams• Providing compliance training to organization personnel• Assisting in regulatory filings• Reviewing marketing material for compliance with applicable SEC rules• Providing support during SEC exams