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Compliance and Regulatory Consulting

Compliance and Regulatory Consulting

Our team of experts provides consulting services to investment and private banking, asset management, wealth management and brokerage firms.

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Local and global compliance expertise for the financial services industry.

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Duff & Phelps provides a comprehensive range of compliance and regulatory services to the global financial services industry and leading AML and AB&C guidance to firms across all industries. As a trusted partner for clients, we deliver on time, within budget and to the highest quality standards, always striving to exceed expectations. We operate with a non silo approach as one united team to offer a global solution to our clients, who value the clear communication and exemplary service they receive from the start.

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  • UK
  • U.S.
  • EU
  • Asia
  • Ireland
  • Channel Islands
  • France
  • Management Company Services

Key Services by Region

UK
U.S.
EU
Asia
Ireland
Channel Islands
France
Management Company Services
Selected: UK

Insights

Valuation

Measuring Their Shot – A Study of Professional Golfers’ Future Career Value

Valuation
Compliance

Duff & Phelps Management Company Limited launches Ireland Super ManCo

Compliance
Compliance

Observations from OCIE’s Multi-Branch Initiative

Compliance
Compliance

Global Enforcement Review 2020 - AML

Compliance
COVID-19 Resource Center

View Our Novel Coronavirus (COVID-19) Resource Center for Latest Guidance

COVID-19 Resource Center
Compliance

Global Regulatory Outlook 2020

Compliance
Global Risk

Global Fraud and Risk Report 2019/20

Global Risk
Compliance

OCIE Observations – Investment Adviser Compliance Programs

Compliance

News