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Compliance Solutions Overview

DuMont Consulting, LLC is an outsourced Compliance Solution For small and mid-tier broker-dealers, RIAs and Private Equity Funds.

With our depth and breadth of industry experience and through our strategic partnerships DuMont Consulting has the ability to provide clients with a comprehensive and holistic compliance solutions product while also maintaining the flexibility to offer targeted compliance solutions for more specific requirements.

Outsourced CCO, FINOP, CROP & ROP Services for Investment Firms

DuMont Consulting provides comprehensive outsourced CCO services for investment firms, along with FINOP, CROP, and ROP support, enabling firms to meet regulatory obligations with confidence.

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New Membership Application (NMA) Assistance for Broker-Dealers & RIAs

DuMont Consulting offers end-to-end New Membership Application (NMA) assistance for broker-dealers and investment advisers seeking FINRA or SEC registration.

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SEC Standard of Care & Fiduciary Compliance Solutions

Meeting the SEC’s evolving Standard of Care obligations is critical for both broker-dealers and RIAs.

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Form CRS (Client Relationship Summary) Development & Ongoing Maintenance

DuMont provides expert Form CRS preparation, filing, and maintenance services for broker-dealers and investment advisers.

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Form ADV Part III (ADV CRS) Compliance Support

For RIAs, DuMont Consulting delivers specialized Form ADV Part III support, ensuring regulatory disclosures accurately reflect advisory services, compensation structures, and conflicts of interest.

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Regulation Best Interest (Reg BI) Compliance Implementation

DuMont Consulting offers comprehensive Regulation Best Interest compliance services to broker-dealers serving retail clients.

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Written Supervisory Procedures (WSP) Review, Updates & Customization

Written Supervisory Procedures are the backbone of any compliant broker-dealer or investment firm.

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Email Review & Electronic Communications Surveillance

DuMont provides email review and communications surveillance services to identify potential compliance risks, sales practice violations, or unapproved communications.

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Independent Investigations of Misconduct & Regulatory Issues

DuMont Consulting conducts independent investigations of misconduct, including alleged regulatory violations, internal complaints, or supervisory failures.

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Conflict of Interest, Outside Business Activities & Personal Trading Reviews

Managing conflicts of interest, outside business activities (OBAs), private securities transactions, and personal trading is critical to regulatory compliance.

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Web-CRD Management & Regulatory Registration Maintenance

DuMont provides Web-CRD management and maintenance services, ensuring accurate registration records, timely filings, and proper disclosure updates for registered representatives and principals.

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Insider Trading Compliance Programs & Surveillance

DuMont Consulting helps firms design and maintain insider trading compliance programs, including policies, training, monitoring, and escalation procedures.

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Annual FINRA Rule 3012 & Supervisory Control Reports

DuMont assists firms with Annual Rule 3012 reviews and supervisory control reports, evaluating the effectiveness of supervisory systems and compliance controls.

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Why DuMont Consulting

DuMont Consulting delivers outsourced CCO services for investment firms that demand experience, precision, and regulatory credibility. Our solution-based approach allows firms to scale, adapt, and remain compliant in an increasingly complex regulatory landscape.

Why DuMont Consulting

DuMont Consulting delivers outsourced CCO services for investment firms that demand experience, precision,
and regulatory credibility. Our solution-based approach allows firms to scale, adapt, and remain compliant in an
increasingly complex regulatory landscape.

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