Compliance and Regulatory Consulting
Global Advice and Consulting
The financial services industry is subject to increasing regulatory scrutiny, with the financial and reputational costs of breaches growing. Financial institutions are also examining their business models and undertaking strategic trend analyses to prepare for future challenges and opportunities – of which regulation plays a key part.
As an award-winning provider of compliance and regulatory consulting services to the financial services industry, Duff & Phelps helps clients to develop, implement, and manage their compliance and regulatory consulting programs.
Our multidisciplinary team - drawn from leading financial institutions, regulators, government authorities and advisory firms - operates across borders to provide seamless service, cross-jurisdictional advice and varied expertise to clients. Based in key financial centers, we are closely connected with regulators and industry associations so that our clients have the best available information on regulatory requirements and trends.
Whatever challenge you are facing, our team can assist.
Global Advice and Consulting
Compliance Due Diligence
Compliance Due DiligencePost-Brexit Solutions
Post-Brexit SolutionsFinancial Crime Prevention
Financial Crime PreventionHosted Regulatory Solution
Hosted Regulatory SolutionMarket Services
Market ServicesRegulatory Enforcement
Regulatory EnforcementRegulatory Tax Advisory
Regulatory Tax AdvisoryRisk Consulting
Risk ConsultingSkilled Persons and Secondments
Skilled Persons and SecondmentsManagement Company Services
Management Company ServicesContact Us
Julian Korek
Vice Chairman
London
Julian Korek
Monique Melis
Managing Director and Global Head of Compliance and Regulatory Consulting
London
Monique Melis
Chris Lombardy
Managing Director
Compliance and Regulatory Consulting
New York
Chris Lombardy
Nicolas Inman
Managing Director
Compliance and Regulatory Consulting
Hong Kong
Nicolas Inman
Aaron Weiss
Managing Director
Compliance and Regulatory Consulting
Hong Kong
Aaron Weiss
Other Areas We Can Help
Alternative Asset Advisory
Provides an array of consulting services to alternative investment managers and investors.
Portfolio Valuation
Alternative investment valuation for private equity and hedge funds.
Securities Litigation
Assistance with complex securities litigation.
By Jurisdiction
Regionally targeted assistance for asset managers in compliance program development, implementation and maintenance