Compliance Consulting

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 initiatives, such as AIFMD, MiFID II, FATCA, Dodd Frank and GDPR, 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.

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.

Providing both retained or ad-hoc regulatory compliance consulting services, our dedicated team offers practical support during the launch phase and assistance throughout the business lifecycle across markets including the UK, Europe, North America, Hong Kong and Singapore. Our compliance consultants have extensive experience in setting-up firms, assisting with obtaining initial authorization or registration, through to providing ongoing compliance services to navigate the rapidly changing regulatory landscape.

Start-up services include:

• Compliance advice on start-up issues
• Registration/authorization assistance including FCA, SEC, SFC, MAS, and AMF
• FCA regulatory hosting for advisers/arrangers
• Compliance infrastructure design, policies and procedures
• Regulatory tax advisory services
• Capital and liquidity forecasts
• Business modeling and entity incorporations

Ongoing compliance support and advisory services include:

• Retained/ad-hoc compliance and regulatory services 
• Compliance infrastructure design, policies and procedures
• Thematic compliance reviews
• Annual and ongoing reviews of compliance arrangements, systems and controls
• Mock regulatory audits, pre-enforcement and supervisory reviews
• Support with on-site regulator visits, examinations and enforcement investigations
• Employee trading reviews
• Cybersecurity policies, procedures and assessments
• Financial and regulatory filings/reporting
• Advice on preparing for regulatory changes
• Regulatory update notifications
• Employee training on regulatory matters
• Secondments to compliance and regulatory roles

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), Association Professionnelle des Investisseurs pour la Croissance (AIFC) and Investment Management Association (IMA).