Compliance teams often find themselves over-stretched in times of regulatory developments or major project work. In these situations it is useful, at short notice, to be able to call on expert compliance consultants who can quickly get up to speed with the situation and the firm.
Duff & Phelps provides compliance consultancy support and is a trusted adviser to a large variety of firms including hedge funds, private equity firms, wealth managers, corporate finance and broker dealers in the UK, North America and Hong Kong.
Duff & Phelps is regularly required to provide timely project management and compliance support at short notice. When it comes to new regulatory requirements, we are able to act quickly as we will already have developed and implemented products or processes that are easily tailored to specific firms. We can also provide one-off support for specific projects to enable compliance functions to manage peaks of workload demands.
Examples of areas in which we can assist you include:
- on call assistance with monitoring
- assistance in updating or drafting new policies
- delivering regulatory training on new regulatory rules and developments
- analysis of new regulatory rules and how they impact the firm