Julian Korek
Vice Chairman
London
Julian Korek
Compliance and Regulatory Consulting
Our team of experts provides consulting services to investment and private banking, asset management, wealth management and brokerage firms.
Jump to servicesContact Us
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
Ian Manson
Managing Director
Compliance and Regulatory Consulting
London
Ian Manson
Marie Barber
Managing Director
Regulatory Tax Advisory
London
Marie Barber
Alan Keating
Managing Director
Compliance and Regulatory Consulting
Dublin
Alan Keating
Malin Nilsson
Managing Director
Compliance and Regulatory Consulting
Channel Islands
Malin Nilsson
Hannah Rossiter
Director
Compliance and Regulatory Consulting
Paris
Hannah Rossiter
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.
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 ConsultingFilter
- U.S.
- UK
- EU
- Asia
- Ireland
- Channel Islands
- France
- Management Company Services
Key Services by Region
Selected:
U.S.
SEC Mock Examination Services
Comprehensive assistance in preparing for and managing an SEC exam
SEC Mock Examination Services
Investment Adviser Services
SEC and CFTC registration and ongoing compliance support.
Investment Adviser Services
Broker-Dealer Services
Broker-dealer registration, ongoing support services, and mock exams.
Broker-Dealer Services
Duff & Phelps RegHub
Enabling firms to schedule their annual regulatory obligations and carry out monitoring checks.
Duff & Phelps RegHub
Compliance Due Diligence
Regulatory operational due diligence for asset managers.
Compliance Due DiligenceInsights
Client Alert
FINRA 2020 Risk Monitoring and Examination Priorities Letter
by Peter Wilson
Compliance
Global Regulatory Outlook 2020
Compliance
Regulation and the Threat of Climate Change – Priorities for 2020
by Malin Nilsson
Compliance
Regulatory Focus – January 2020
by Ian Manson
News
London Loses to New York as Pre-eminent Financial Hub but Favorable Regulatory Regime Could Help London Bounce Back
Duff & Phelps Expands Securities Solicitation and Trustee Services Lines into Europe with Acquisition of Lucid Companies
Duff & Phelps to Be Acquired by Global Investor Consortium for $4.2 Billion
Mark Turner Speaks to Peer2peer Finance News About New Wind-down Rules
