Mark J. Donaldson, CFA - Owner

My name is Mark Donaldson and I would like to introduce DCC to you and your firm. 

Specifically, DCC provides regulatory compliance and operational consulting services to investment advisors and broker dealers.   In addition to helping new firms with start up, DCC also assists BD and RIA firms in assessing their current compliance and operational systems.  We usually do this by conducting "mock" audits, or by conducting a firm's required annual compliance review.   Both BD and RIA firms, whether federally or state registered, are required to conduct a review, at least annually, of their operations and supervisory procedures.  Many find that it is not only helpful to have an experienced, objective outside party assist in the review, but it also allows the firm to spend more time focusing on their clients.  

As for my experience, I have been in the investment business for about 20 years, over 12 as a CCO, with emphasis in operations, trading, finance, and compliance.  I have experience in both retail and institutional environments, with both BD and RIA firms.  Before I started my consulting practice in 2008, I served for 3 years as CCO of a national broker dealer / investment advisor with over 400 registered personnel.  And during the last two of those years, I also served on a national compliance council for the Financial Service Institute. 

If you would ever consider a review or outsourcing of any of your regulatory compliance functions, I would appreciate it if you would give me a call and allow me an opportunity to discuss how we can help.  Of course, I would be happy to furnish references upon request.

Donaldson Compliance Consulting, LLC
PO Box 7269, Kansas City, MO  64113
913-707-7366
mdonaldson@donaldsoncompliance.com