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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 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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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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  • 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

The Face of Regulation in the New Normal

Compliance
Compliance

Update on Short Selling Restrictions

Compliance
Compliance

Extension of the Senior Managers and Certification Regime (SM&CR) Implementation Periods for Solo-Regulated Firms

Compliance
Article

U.S. Securities and Exchange Commission Update – Second Quarter 2020

Article

News

Events