SEC Standard of Care & Fiduciary Compliance Solutions

Navigating the SEC’s Standard of Care and fiduciary compliance requirements is a critical responsibility for both registered investment advisers (RIAs) and broker-dealers. As regulatory expectations continue to evolve through heightened enforcement actions, interpretive guidance, and investor protection initiatives, firms must maintain robust compliance frameworks that clearly demonstrate their commitment to acting in clients’ best interests. DuMont Consulting delivers comprehensive SEC Standard of Care and fiduciary compliance solutions designed to help investment firms meet these obligations with confidence and consistency.

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Our services begin with in-depth fiduciary compliance gap assessments, evaluating existing supervisory systems, policies, procedures, disclosures, and advisory practices against current SEC standards. We identify areas of regulatory risk related to suitability, best interest obligations, conflicts of interest, compensation structures, and ethical conduct. This proactive approach enables firms to remediate deficiencies before they result in regulatory scrutiny, enforcement actions, or reputational harm.

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DuMont Consulting also provides customized policy and procedure development, ensuring written supervisory procedures (WSPs), compliance manuals, and internal controls fully align with SEC fiduciary expectations. We assist firms in strengthening disclosures across Form ADV, client agreements, and marketing materials to ensure transparency, accuracy, and consistency with regulatory guidance. Our team places particular emphasis on conflict-of-interest identification, mitigation, and disclosure—one of the SEC’s most closely examined areas during audits and examinations.

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Creative Ideas

Experienced Advisors

Risk Management

Quality Management

To support ongoing adherence, we design and deliver fiduciary duty and Standard of Care training programs tailored to advisors, principals, and supervisory personnel. These programs reinforce ethical decision-making, suitability analysis, and documentation best practices while promoting a culture of compliance throughout the organization. Training initiatives are structured to meet regulatory expectations for continuing education and internal compliance oversight.

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By partnering with DuMont Consulting, investment firms gain access to senior-level compliance expertise focused on SEC Standard of Care compliance, fiduciary duty oversight, and investor protection standards. Our solutions reduce regulatory risk, enhance operational integrity, and help firms demonstrate a clear, defensible commitment to putting clients’ interests first—today and as regulatory expectations continue to evolve.