Compliance and Regulatory Consulting
Advice and Consulting by Jurisdiction
Duff & Phelps is a trusted and leading global compliance consultant to a variety of firms including hedge funds, private equity firms, wealth managers, corporate finance and broker dealers.
The global financial services industry is subject to increasing scrutiny and oversight, with the cost of making mistakes becoming higher both financially and with respect to reputation. New regulatory initiatives are impacting firms on a local and international level, requiring firms to be cognizant of all legislation and initiatives that affects them. By keeping on top of these regulations, firms retain their competitive advantage in an ever-changing landscape.
Our global team of over 180 professionals provides practical support during the start-up phase and assistance throughout the business lifecycle across markets including the UK, Europe, North America, Hong Kong and Singapore. Our consultants have extensive experience in setting-up firms, assisting with obtaining initial authorization or registration, through to providing ongoing regulatory compliance services and advice to navigate the rapidly changing regulatory landscape.
This powerful combination of our unique focus on financial services, team of industry recognised experts and ‘one team’ approach allows clients to receive seamless service, relevant guidance and insights to overcome the challenges they face.
We are active members of industry associations across the globe including the Alternative Investment Management Association (AIMA), British Private Equity and Venture Capital Association (BVCA), Managed Funds Association (MFA), Irish Funds Association, Association of the Luxembourg Fund Industry (ALFI) and Investment Management Association (IMA).
Advice and Consulting by Jurisdiction
U.S. Regulation
U.S. RegulationEU Regulation
EU RegulationFrench Regulation
French RegulationUK Regulation
UK RegulationIrish Regulation
Irish RegulationHong Kong Regulation
Hong Kong RegulationSingapore Regulation
Singapore RegulationChannel Islands Services
Channel Islands ServicesContact Us
Julian Korek
Vice Chairman
London
Julian Korek
Monique Melis
Managing Director and Global Head of Compliance and Regulatory Consulting
London
Monique Melis
Chris Lombardy
Managing Director
Compliance and Regulatory Consulting
New York
Chris Lombardy
Ian Manson
Managing Director
Compliance and Regulatory Consulting
London
Ian Manson
Nicolas Inman
Managing Director
Compliance and Regulatory Consulting
Hong Kong
Nicolas Inman
Other Areas We Can Help
Alternative Asset Advisory
Provides an array of consulting services to alternative investment managers and investors.
Business Services
Broad and integrated range of regulatory financial reporting, company secretarial, and payroll services.
Compliance Due Diligence
Regulatory operational due diligence for asset managers.
Global Fraud and Forensic Investigations
Expert analysis to help clients understand, prevent and manage fraud.
Regulatory Tax Advisory
Global tax services uniquely customized for asset managers.
Securities Litigation
Assistance with complex securities litigation.