Duff & Phelps is a trusted and leading global compliance consultant to a variety of firms including hedge funds, private equity firms, wealth managers, corporate finance and broker dealers.
The global financial services industry is subject to increasing scrutiny and oversight, with the cost of making mistakes becoming higher both financially and with respect to reputation. New regulatory initiatives are impacting firms on a local and international level, requiring firms to be cognizant of all legislation and initiatives that affects them. By keeping on top of these regulations, firms retain their competitive advantage in an ever-changing landscape.
Alternative Asset Advisory
Provides an array of consulting services to alternative investment managers and investors.Alternative Asset Advisory
Broad and integrated range of regulatory financial reporting, company secretarial, and payroll services.Business Services
Compliance Due Diligence
Regulatory operational due diligence for asset managers.Compliance Due Diligence
Global Fraud and Forensic Investigations
Expert analysis to help clients understand, prevent and manage fraud.Global Fraud and Forensic Investigations
Regulatory Tax Advisory
Global tax services uniquely customized for asset managers.Regulatory Tax Advisory
Assistance with complex securities litigation.Securities Litigation
Are You Affected by The Securities Financing Transaction Regulation (SFTR)?
Extension of the Senior Managers and Certification Regime (SM&CR) Implementation Periods for Solo-Regulated Firms
FCA Update On COVID–19 and Information Security
Firms Need To Register For FCA’s New Data Collection Platform
Mark Turner Speaks to Compliance Matters About FCA’s Absent Senior Manager Cover Extension
FCA Third-Party Reviews Spike 68% in 2019/2020 Compared to Year Before – Financial Crime is Still a Key Focus
Nick Bayley Discusses the FCA's Warning to Banks Over Extra Fees
Mark Turner Discusses Car Finance Payment Freeze