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.
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By Jurisdiction
Regionally targeted assistance for asset managers in compliance program development, implementation and maintenance
By Jurisdiction
UK Regulation
Comprehensive compliance and regulatory support for FCA authorized firms.
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News
Mark Turner Discusses London’s Financial Future
Nick Bayley Talks About UK’s Regulatory Regime Post-Brexit
Claire Simm Featured in International Investment Discussing the EU’s Blacklist
Mark Turner Featured in Thomson Reuters Discussing Recent FCA and PRA Enforcement Action
