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.

Duff & Phelps provides a comprehensive range of compliance regulatory services to the global financial services industry.

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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Compliance and Regulatory Consulting Services

By Jurisdiction

Regionally targeted assistance for asset managers in compliance program development, implementation and maintenance

By Jurisdiction

Global Advice and Consulting

Assistance to develop, implement, and manage global compliance and regulatory consulting programs.

Global Advice and Consulting

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

Key Services by Region

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

CFTC/NFA Services

Comprehensive CFTC registration and ongoing support.

CFTC/NFA Services

Broker-Dealer Services

Broker-dealer registration, ongoing support services, and mock exams.

Broker-Dealer Services

Duff & Phelps RegHub

Enabling firms to schedule their annual regulatory obligations and carry out monitoring checks.

Duff & Phelps RegHub

Compliance Consulting

Expert compliance support for a variety of firms including hedge funds, private equity firms, wealth managers, corporate finance and broker dealers.

Compliance Consulting

Trading Venues

Assistance for MTFs in identifying market abuse.

Trading Venues

UCITS

Establishment and ongoing support for UCITS funds.

UCITS

EMIR Trade Reporting

Assisting firms to comply with EMIR trade reporting arrangements and meet the required standards.

EMIR Trade Reporting

Irish Regulation

Comprehensive support for asset managers registering in Ireland.

Irish Regulation

Channel Islands Services

Range of regulatory and compliance consulting services for firms registered in the Channel Islands.

Channel Islands Services

Board Evaluation

Recognized experts in governance, risk and compliance, assisting boards to enhance their effectiveness.

Board Evaluation

French Regulation

Advising investment companies in setting out and implementing governance, risk management, compliance and internal controls.

French Regulation

Risk Consulting

Assistance to investment managers who want to better understand, monitor and disclose their risk.

Risk Consulting

UCITS

Establishment and ongoing support for UCITS funds.

UCITS

Insights

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