Duff & Phelps offers comprehensive regulatory compliance support designed to help regulated firms remain compliant while allowing them to focus on their core business skills. Our team, drawn from both the industry and regulators, is unmatched for size, expertise and experience. Moreover, we maintain excellent working relations with regulators and industry bodies to provide clients with that extra insight, which allows us to offer the support that is both compliant and commercial.
We offer an unrivaled breadth of coverage, which is increasingly important in interconnected global markets. Our global locations in key financial markets allows us to provide access to regulatory support and advice that cannot be matched by our peers.
Our client base is large and diverse with a focus on wholesale firms in the hedge fund, alternative long only managers, venture capital, private equity, corporate finance, property and small brokerage spaces. Each type of firm has different regulatory needs and risks, which we satisfy with tailored solutions including:
- Compliance manual, policies and procedures
- Compliance infrastructure to provide you with the tools to achieve a compliant business
- Compliance monitoring visits and a formal report of findings, recommendations and reminders
- Advice on call
- Rule updates
- Regulatory training and monthly newsletters and alerts
- Health checks and in depth reviews (section 166 reviews)
- Interim support
- Regulatory disclosures and returns
You will deal with a dedicated compliance consultant who will build both a rapport and detailed knowledge of your business. We tailor our service to the level of support you require, whether monthly, quarterly, semi annual or ad hoc visits.