Compliance and Regulatory Consulting
Local and global compliance expertise for the financial services industry.
Compliance and Regulatory ConsultingPeter Ray joined Duff & Phelps in January 2015 from Kinetic Partners. As a result of Duff & Phelps’ acquisition of Kinetic Partners, Duff & Phelps created a dedicated Compliance and Regulatory Consulting practice.
Peter is a director in the compliance consulting team and has 18 years’ experience in compliance and regulation. Peter previously worked as a Compliance Officer at Barings and Bank One. In 1989 he joined the Surveillance Division of the SFA, predecessor of the FSA, where he subsequently moved to the financial regulation policy unit, specializing in client assets and regulatory capital issues. Peter joined Livingstone Gunn from Complinet where he was a Senior Compliance consultant and Research analyst; Livingstone Gunn was acquired by Kinetic Partners in April 2008.
Related Services
Compliance and Regulatory Consulting
By Jurisdiction
Regionally targeted assistance for asset managers in compliance program development, implementation and maintenance
By Jurisdiction
Compliance and Regulatory Consulting
EU Regulation
Comprehensive compliance and regulatory support for EU firms.
EU Regulation
Compliance and Regulatory Consulting
UK Regulation
Comprehensive compliance and regulatory support for FCA authorized firms.
UK RegulationInsights
Report
European Industry Market Multiples
Publication
Regulatory Watch – Asset Management Q3
by Hannah Rossiter
Publication
Finance Bill 2018
by Marie Barber
Publication
Algorithmic Trading Under MiFID II: Increased Regulatory Expectations and Annual Self-assessment
by Nick Bayley
Publication
The Autumn Budget 2018
by Marie Barber
Publication
Regulatory Focus – October 2018
by Ian Manson
