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UK Regulation

Duff & Phelps' team of regulatory and compliance experts – drawn from the FCA, financial institutions, and major professional services firms – provides a comprehensive and unrivaled range of regulatory and compliance services to the UK asset management, investment banking and brokering industries.

The UK regulatory landscape is constantly evolving, with new Financial Conduct Authority (FCA) initiatives introduced and working practices regularly updated at a European level. The need for increased monitoring and reviewing of compliance procedures presents firms with a consistently challenging working environment.

Regularly cited as "Best regulatory compliance advisory firm," Duff & Phelps is a leading global provider of compliance consulting services to the UK and global financial services industry. Clients consult our team of specialists at every stage of their business lifecycle to meet regulatory obligations and navigate the rapidly changing regulatory landscape. We work closely with regulatory bodies and industry associations throughout the world to provide our clients the best available information on regulatory requirements and trends.

Services include:

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Global Regulatory Outlook 2021

Duff & Phelps analyzes data from senior decision-makers in financial services to provide insights into the current and future global regulatory landscape.

Read our findings.

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Comprehensive compliance and regulatory support for EU firms.

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Compliance

Regulatory Focus – April 2021

Compliance
Compliance

Updates from the FCA During November 2020

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Compliance

Regulatory Focus – February 2021

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Compliance

Updates from the FCA During December 2020

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