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.   Many  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 over 30 years 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 held various CCO positions at national broker dealer / investment advisory firms.   

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.