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Dana R.
Dawe

  • Senior Compliance Consultant
ddawe@wnj.com
Grand Rapids
T 616.752.2526
F 616.222.2526

My admin

With more than 25 years’ experience, Dana Dawe has handled regulatory compliance in the financial services industry for SEC-registered investment advisers, broker-dealers, and nonprofit securities issuers. 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. 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.

industries

practices

  • Reviews compliance with state blue sky laws applicable to the issuance of securities and the sale and promotion of securities by nonprofits, broker-dealers, agents, and issuer-agents
  • Assists with preparation and review of annual business history information for officers, directors and other control persons
  • Prepares and files state securities law applications with all states that require a filing for either the registration of securities, broker-dealers, agents, or issuer agents, or securing an exemption from registration requirements, including Forms U-1, U-2, U-2A, U-4, U-5, BD and state specific forms
  • Develops good working relationships with state securities law regulators in connection with the authorization of nonprofit offerin
  • Reviews compliance with state blue sky laws applicable to the issuance of securities and the sale and promotion of securities by nonprofits, broker-dealers, agents, and issuer-agents
  • Assists with preparation and review of annual business history information for officers, directors and other control persons
  • Prepares and files state securities law applications with all states that require a filing for either the registration of securities, broker-dealers, agents, or issuer agents, or securing an exemption from registration requirements, including Forms U-1, U-2, U-2A, U-4, U-5, BD and state specific forms
  • Develops good working relationships with state securities law regulators in connection with the authorization of nonprofit offering documents and securities law compliance issues generally
  • Reviews and files supplemental offering materials with all the states where required
  • Reviews for compliance all proposed advertising materials for nonprofit securities offerings, including filing with states where required
  • Prepares and files agent registrations and renewals with states that require a filing
  • Maintains up to date information about securities laws and compliance in all 50 states and US territories
  • Maintains records of annual offering documents and registration forms
  • 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
  • Provides expert guidance 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
        Image for Dana R. Dawe

        Dana R.
        Dawe

        • Senior Compliance Consultant
        ddawe@wnj.com
        Grand Rapids
        T 616.752.2526
        F 616.222.2526

        My admin

        Biography|
        Credentials

        With more than 25 years’ experience, Dana Dawe has handled regulatory compliance in the financial services industry for SEC-registered investment advisers, broker-dealers, and nonprofit securities issuers. 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. 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.

        industries

        practices