Dana Dawe, Cams Email & Phone Number

A former Chief Compliance Officer with a prominent regional accounting firm, Dana has more than 25 years regulatory compliance experience in the financial services industry and specializes in providing regulatory and SRO compliance consulting services to FINRA registered broker/dealers and SEC registered investment advisers. He also has significant capital markets expertise. Prior to starting his firm, Dawe Compliance Consulting Services, Dana was CCO of three SEC regulated entities affiliated with Plante & Moran, the 11th largest accounting firm in the U.S. Dana also gained extensive regulatory compliance experience as Vice President and Director of Compliance & Operations for Old Kent Securities Corporation and Lyon Street Asset Management Company where he was responsible for overseeing the compliance and operations functions of a bank-affiliated broker/dealer and investment adviser to a proprietary mutual fund complex. Prior to joining Old Kent, Dana was a Compliance Specialist with First of America Bank Corporation, where he was responsible for the Section 20 broker/dealer Capital Markets Division's compliance program. Dana has been a member of the FINRA Board of Arbitrators since 1995. He also has taken and passed the examinations for the FINRA and NASAA Series 6, 7, 24, 27, 63, and 65 registrations and is a Certified Anti-Money Laundering Specialist (CAMS) and member of the Association of Certified Anti-Money Laundering Specialists and The National Society of Compliance Professionals (NSCP).Specialties: M & A Regulatory Compliance, including Reg D Independent Testing and Evaluation of AML & Customer Identification ProgramsHedge Fund Compliance & Written Compliance ProgramsMock Regulatory Examinations for RIAs and BDsState and FINRA Consent Decree ProjectsInvestment Adviser 206(4)-7 Testing & ReviewFINRA/NASD Rule 3012 Testing & ReportingSales Literature & Advertising Review (SEC & FINRA)Non Profit Securities Disclosure Documents & State Registration/Exemption Compliance

Listed skills include Securities, Finra, Mutual Funds, Series 7, and 24 others.

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  Michigan State University

  Social Science