Dana R. Dawe

Senior Compliance Consultant | ddawe@wnj.com | V-Card | Profile PDF Grand RapidsT +1.616.752.2526F +1.616.222.2526 For more than 25 years, Dana Dawe has handled regulatory compliance in the financial services industry for SEC-registered investment advisers and broker-dealers. He has worked as Chief Compliance Officer for bank-affiliated and accounting firm-affiliated investment advisers and broker-dealers in retail, institutional, mutual fund and M&A settings. Dana fosters a culture of compliance by effectively disseminating and communicating regulatory requirements... Read More

For more than 25 years, Dana Dawe has handled regulatory compliance in the financial services industry for SEC-registered investment advisers and broker-dealers. He has worked as Chief Compliance Officer for bank-affiliated and accounting firm-affiliated investment advisers and broker-dealers in retail, institutional, mutual fund and M&A settings. Dana fosters a culture of compliance by effectively disseminating and communicating regulatory requirements and compliance strategies. Having also worked on the sales side of the securities business, he offers clients a front-line, common-sense approach. "I enjoy putting together the pieces of the compliance puzzle and solving problems at the same time," Dana says. As a securities compliance consultant, Dana is not licensed to practice law, so he works closely with and under the supervision of attorneys in our Funds and Investment Services Practice Group.

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Experience

  • Prepares and conducts broker-dealer and investment adviser mock regulatory examinations, SEC and FINRA
  • Conducts FINRA Rule 3012/3013 testing and reporting
  • Conducts Investment Adviser's Act Rule 206(4)-7 reviews
  • Develops and tailors supervisory systems and written supervisory procedures
  • Prepares disclosure documents such as ADV Parts 2A and 2B
  • Performs routine and "For Cause" Broker-Dealer Branch and OSJ audits
  • Conducts independent AML Program testing and reporting
  • Performs "For Cause" investigations
  • Designs and drafts M&A and capital markets compliance systems, policies and procedures
  • Testifies as expert witness in securities cases
  • Conducts M&A due diligence on brokerage firms and investment advisers
  • Consults for regulatory consent decree and enforcement projects
  • Performs enterprise supervisory structure assessments
  • Registers broker-dealers and investment advisers with state and federal regulators
  • Reviews sales literature and advertising for compliance with SEC and FINRA rules and regulations
  • Sets up books and records/compliance infrastructure for newly registered BD's and RIA's
  • Conducts operations controls reviews
  • Provides FINOP and CCO outsourcing support services
  • Private placement and Reg. D compliance
  • Reviews private placement memoranda
  • Designs and reviews continuing education programs
  • Assists with business continuity planning
  • Plans and develops information security programs and written policies
  • Provides international consulting for foreign firms considering U.S. securities registration and licensing

Industries

Practices

Professional Affiliations

  • Financial Industry Regulatory Authority
    Member, Board of Arbitrators (1995-Present)
  • National Society of Compliance Professionals
    Member (1994-Present)
  • Certified Anti-Money Laundering Specialist (CAMS)
  • Association of Certified Anti-Money Laundering Specialists
    Member (2007-Present)

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