U.S. Regulation

Duff & Phelps’ award-winning compliance consulting team has extensive experience in financial services and advisory industries, drawn from roles such as attorneys, chief compliance officers, chief operating officers, fund administrators, and regulators.

Regulatory and compliance programs for financial services firms should be complete, effective and designed to withstand the most stringent regulatory reviews – without disrupting the business. The best regulatory and compliance programs seamlessly integrate into the firm’s business operations.  This enables firms to save costs and prevent reputational damage resulting from regulatory enforcement or criminal and civil penalties.

In the U.S., a strong compliance program is particularly significant as the U.S. Securities and Exchange Commission (SEC) continues its intensive investigative and enforcement efforts. Meanwhile, regulation of the U.S. investment advisory industry continues to expand, with new efforts across U.S. regulators, including the National Futures Association (NFA) and the Financial Industry Regulatory Authority (FINRA). In the U.S., compliance programs are also expanding their focus on areas such as cyber security and AML measures.

Duff & Phelps works with a broad range of firms throughout the business lifecycle, including U.S. and global investment advisers, hedge funds, private equity funds, broker-dealers, BDCs, venture capital funds, wealth managers, mutual funds and other alternative and traditional asset managers.

Our team has first-hand practical knowledge and experience, gleaned from years of providing practical start-up and registration assistance, developing effective compliance and regulatory programs, and assisting with regulatory examinations and investigations. Our dedicated U.S. Compliance Consulting team has in-depth knowledge of the SEC registration process, rules and regulations (including Dodd-Frank and its implications), as well as CFTC, NFA, and FINRA registration and reporting requirements. Our global presence enables us to assist clients to streamline compliance practices and procedures that meet global regulatory standards, including those from the UK’s Financial Conduct Authority (FCA), Hong Kong’s Securities and Futures Commission (SFC), Singapore Monetary Authority (MAS) and other jurisdictional regulators.

 

 

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