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
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.
UK RegulationInsights
Publication
Investment Risk of the EU’s Anti-Tax Avoidance Directive
by Andy Murray
Publication
FCA Publishes Priorities for 2019-2020
by Ian Manson
Publication
OCIE Risk Alert Relating to Regulation S-P – Privacy Notices and Safeguard Policies
Alternative Assets
Duff & Phelps Contributes to ILPA’s Guidance for GP-Led Secondary Transactions
by Dexter B. Blake, III
Publication
Deadline for Form 42: Employment Related Services
by Marie Barber
Compliance
Regulatory Focus – March 2019
by Ian Manson
News
Ed Shorrock Talks to Accounting and Business Magazine
Malin Nilsson Featured in BL Global: What’s in a Name?
Monique Melis Quoted in Thomson Reuters Accelus on Combating Bank Fraud in UK
Nick Bayley Featured in Financial News Discussing Transaction Reporting
