Nicolas Inman
Managing Director
Compliance and Regulatory Consulting
Hong Kong
Nicolas Inman
Compliance and Regulatory Consulting
Our team of experts provides consulting services to investment and private banking, asset management, wealth management and brokerage firms.
Jump to servicesContact Us
Aaron Weiss
Director
Compliance and Regulatory Consulting
Hong Kong
Aaron Weiss
Alasdair Putt
Director
Compliance and Regulatory Consulting
Hong Kong
Alasdair Putt
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.
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 ConsultingFilter
- U.S.
- UK
- EU
- Asia
- Ireland
- Channel Islands
- France
- Management Company Services
Key Services by Region
Selected:
U.S.
SEC Mock Examination Services
Comprehensive assistance in preparing for and managing an SEC exam
SEC Mock Examination Services
Investment Adviser Services
SEC and CFTC registration and ongoing compliance support.
Investment Adviser 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 Due Diligence
Regulatory operational due diligence for asset managers.
Compliance Due DiligenceInsights
Compliance
Regulatory Focus – November 2019
by Ian Manson
Compliance
What Forces Will Shape the Global Financial Landscape in 2020?
by Monique Melis
Compliance
HMRC Letters to Investors Regarding Money Received from Offshore Investment Funds
by Tina Robertson
Compliance
The SEC Division of Enforcement Issues Its 2019 Annual Report
by Peter Wilson
News
Nick Bayley Talks to the FT About Reporting Errors Made Under MiFID II
No FCA Enforcement Referrals yet, Despite Hundreds of Firms Still Struggling with MiFID II Transaction Reporting
Andy Murray Discusses DAC6 With Bloomberg Tax
Mark Turner Comments on the Increase of DB Transfer Complaints
