Compliance Due Diligence

Our global team – in key financial centers including New York, London, Hong Kong and the Channel Islands – has significant experience across the investment management industry including ODD (as investor and service provider), hedge fund administration, M&A due diligence, fund and fund manager audit, operations and regulatory compliance.Investors often seek our assistance in performing initial due diligence reviews as well as ongoing monitoring of their underlying funds. These investors include: Fund of Funds, Endowments, Foundations, Pension Funds, Family Offices, Wealth Management Platforms and Ultra High Net Worth Individuals.

Managers engage us to perform a self-assessment or mock review of their operational risks. We will highlight any gaps or deficiencies and make recommendations so that the manager can be considered of institutional quality when speaking to investors. 

Why Duff & Phelps?

  • On call globally: without retainer and at short notice, we assist investors as an outsourced function or for ad hoc reviews and updates, or to simply provide an extra pair of hands during busy periods.
  • Experience and network: our team has significant industry experience. We are connected both as a global client servicing team, and also to key regulators, industry bodies, trade associations and business leaders.
  • Engagement: we are focused and passionate about the alternative investment industry.
  • Budget and appetite: by collaboratively assessing operational risk appetite and budgetary constraints, we work with our clients to ensure the scope of our review meets their specific requirements regardless of the strategy or assets under management of the target fund and manager.
  • Customized: the scope of our review and report format is bespoke to the investor.
  • Deep dives: by leveraging off the wider team, we can carry out onsite administrator visits or perform detailed tax analysis when required.
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Regionally targeted assistance for asset managers in compliance program development, implementation and maintenance

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