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

Compliance

Global Regulatory Outlook 2021

Compliance
Compliance

Regulatory Focus – April 2021

Compliance
Compliance

Time to Talk About Failure

Compliance
Compliance

AMF Update – Fourth Quarter 2020

Compliance
Compliance

Custody Rule Checklist and Key Considerations for RIAs

Compliance
Compliance

Will the Sustainable Finance Disclosures Regulation (SFDR) apply to UK Firms?

Compliance
Compliance

Quarterly U.S. Regulatory Roundup – Fourth Quarter 2020

Compliance
Compliance

Assessing the Value of Compliance Due Diligence in M&A—Insight Into the Challenges and Benefits

Compliance
Compliance

Duff & Phelps Management Company Limited launches Ireland Super ManCo

Compliance
Compliance

Global Enforcement Review 2020 - AML

Compliance

News