Demonstrate compliance, meet uphold standards, and validate advisory processes with DALBAR’s trusted certifications and audits.
In today’s regulatory environment, demonstrating compliance isn’t optional—it’s imperative.
DALBAR’s Compliance solutions deliver independent, third-party validation trusted by regulators, clients, and stakeholders alike. Through certifications and audits, we help firms verify processes, mitigate fiduciary risk, and reinforce their position as ethical, client-first leaders.
Certifications & Audits:
DALBAR’s compliance programs validate critical areas, helping firms and advisors prove credibility and reduce risk:
Certifies computer model compliance with Generally Accepted Investment Theory as required by law.
Audits compliance with level-fee fiduciary requirements.
Evaluates if discretionary investment management practices meet the highest fiduciary standards.
Establishes adherence to established fiduciary best practices.
Verifies adherence to fiduciary obligations during DB plan wind-down.
Certifications recognized and respected across the financial services industry.
Programs that meet evolving regulations and fiduciary requirements.
Demonstrated compliance that builds trust and sets firms apart in the marketplace.
Partner with DALBAR for independent validation that meets regulatory requirements and strengthens client trust.
