Duff & Phelps' team of regulatory and compliance experts – drawn from the FCA, financial institutions, and major professional services firms – provides a comprehensive and unrivaled range of regulatory and compliance services to the UK asset management, investment banking and brokering industries.
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.
- 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
- Market conduct and surveillance
- MiFID II
- MiFID transaction reporting
- Regulatory and compliance training
- Trading venues
- Trade and transaction reporting
- UK skilled persons appointments
- SM&CR Consulting and Implementation Support
Expert compliance support for a variety of firms including hedge funds, private equity firms, wealth managers, corporate finance and broker dealers.Compliance Consulting
FCA Authorization Application for Financial Services
Comprehensive FCA Authorization support.FCA Authorization Application for Financial Services
FCA Reporting Support
Support in drafting and filing FCA reports.FCA Reporting Support