How We Can Help
Our approach to regulatory operational due diligence is based on international regulatory standards. It is designed to assess and determine operational, regulatory and compliance risk using a combination of impact and probability evaluated against sound practice in the areas of governance, systems and controls. The methodology loosely follows the tried and tested supervisory visit regime of the UK regulator.
Duff & Phelps will provide views and comments, along with a detailed analysis of the target firm against current arrangements, as compared to industry best practice. The findings are easily assimilated into the overall due diligence process taking account of risk and risk mitigation, and Duff & Phelps will prepare a remedial plan to strengthen the business and support growth aspirations.
Our specialist team understands the regulatory risks to a business and has performed many “Skilled Persons” reviews of the ability of firms to meet different international regulatory standards and best practice. The particular areas of focus include:
- Senior management oversight and governance arrangements
- Business risks and controls
- Customer risks
- Compliance and operating risks
- Dealer/broker/trading licensing
- Exchange operations regulations
- Financial operation regulations
- FCPA/UK Bribery Act requirements
- AML, OFAC sanctions
Post deal regulatory due diligence
At Duff & Phelps we believe that due diligence should not stop when the deal is complete. We have the experience and capability to assist in all aspects of post deal due diligence follow-up, remedial work and to assist in any post deal structuring.