UK Regulation

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:

• Anti-money laundering
• Audit of compliance and risk
• Client money/custody
• Compliance Consulting
• FCA authorizations
• FCA reporting support
• FCA visit preparation: Firm Systematic Framework (FSF)
• Governance, systems and controls
• Investment Compliance Monitoring
• Market conduct and surveillance
• MiFID II
• MiFID transaction reporting
• Prudential
• Regulatory and compliance training
• Trading venues
• Trade and transaction reporting
• UK skilled persons appointments
• SM&CR Consulting and Implementation Support