Duff & Phelps is a trusted and leading global compliance consultant to a variety of firms including hedge funds, private equity firms, wealth managers, corporate finance and broker dealers.
The global financial services industry is subject to increasing scrutiny and oversight, with the cost of making mistakes becoming higher both financially and with respect to reputation. New regulatory initiatives are impacting firms on a local and international level, requiring firms to be cognizant of all legislation and initiatives that affects them. By keeping on top of these regulations, firms retain their competitive advantage in an ever-changing landscape.
Our global team of over 180 professionals provides practical support during the start-up phase and assistance throughout the business lifecycle across markets including the UK, Europe, North America, Hong Kong and Singapore. Our consultants have extensive experience in setting-up firms, assisting with obtaining initial authorization or registration, through to providing ongoing regulatory compliance services and advice to navigate the rapidly changing regulatory landscape.
This powerful combination of our unique focus on financial services, team of industry recognised experts and ‘one team’ approach allows clients to receive seamless service, relevant guidance and insights to overcome the challenges they face.
We are active members of industry associations across the globe including the Alternative Investment Management Association (AIMA), British Private Equity and Venture Capital Association (BVCA), Managed Funds Association (MFA), Irish Funds Association, Association of the Luxembourg Fund Industry (ALFI) and Investment Management Association (IMA).
Alternative Asset Advisory
Provides an array of consulting services to alternative investment managers and investors.Alternative Asset Advisory
Broad and integrated range of regulatory financial reporting, company secretarial, and payroll services.Business Services
Compliance Due Diligence
Regulatory operational due diligence for asset managers.Compliance Due Diligence
Global Fraud and Forensic Investigations
Expert analysis to help clients understand, prevent and manage fraud.Global Fraud and Forensic Investigations
Regulatory Tax Advisory
Global tax services uniquely customized for asset managers.Regulatory Tax Advisory
Assistance with complex securities litigation.Securities Litigation
ESMA Statement on MiFID II Best Execution Disclosures
FCA Sends 'Dear CEO Letter' to Firms About COVID-19
ESMA Statement On Recording Telephone Communications
ESMA and FCA Short Selling Announcements
Mark Turner Featured in FT Adviser on the FCA’s Approach to COVID-19
Mark Turner Features in Peer2Peer Finance News to Discuss the Effect of COVID-19 on Borrowers
Nick Bayley and Mark Turner Speak to the Trade to Discuss the CSDR Buy-In Regime
Mark Turner Discusses the UK Government’s Recent Policy Paper With FT Advisor