A. Scott Davidson
Managing Director and Canada Leader
Disputes, Investigations and Valuations
Toronto
A. Scott Davidson
Compliance and Regulatory Consulting
Our team of experts provides consulting services to investment and private banking, asset management, wealth management and brokerage firms.
Jump to 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
Nicolas Inman
Managing Director
Compliance and Regulatory Consulting
Hong Kong
Nicolas Inman
Ian Manson
Managing Director
Compliance and Regulatory Consulting
London
Ian Manson
Marie Barber
Managing Director
Regulatory Tax Advisory
London
Marie Barber
Malin Nilsson
Managing Director
Compliance and Regulatory Consulting
Channel Islands
Malin Nilsson
Hannah Rossiter
Director
Compliance and Regulatory Consulting
Paris
Hannah Rossiter
Local and global compliance expertise for the financial services industry.
Duff & Phelps provides a comprehensive range of compliance and regulatory services to the global financial services industry and leading AML and AB&C guidance to firms across all industries. As a trusted partner for clients, we deliver on time, within budget and to the highest quality standards, always striving to exceed expectations. We operate with a non silo approach as one united team to offer a global solution to our clients, who value the clear communication and exemplary service they receive from the start.
Compliance and Regulatory Consulting Services
By Jurisdiction
Regionally targeted assistance for asset managers in compliance program development, implementation and maintenance
By Jurisdiction
Global
Assistance to develop, implement, and manage global compliance and regulatory consulting programs.
GlobalFilter
- U.S.
- UK
- EU
- Asia
- Ireland
- Channel Islands
- France
- Management Company Services
Key Services by Region
Selected:
U.S.
SEC Mock Examination Services
Comprehensive assistance in preparing for and managing an SEC exam
SEC Mock Examination Services
Investment Adviser Services
SEC and CFTC registration and ongoing compliance support.
Investment Adviser Services
Broker-Dealer Services
Broker-dealer registration, ongoing support services, and mock exams.
Broker-Dealer Services
RegHub
Enabling firms to schedule their annual regulatory obligations and carry out monitoring checks.
RegHub
Compliance Due Diligence
Regulatory operational due diligence for asset managers.
Compliance Due DiligenceInsights
Compliance
Regulatory Focus – January 2020
by Ian Manson
Compliance
AMF’s Supervisory Priorities for 2020
by Hannah Rossiter
Compliance
New Money Laundering Regulations 2019 – What Do You Need to Know?
by Maria Evstropova
Client Alert
SEC Office of Compliance Inspections and Examinations Announces 2020 Examination Priorities
by Peter Wilson
News
Mark Turner Speaks to Peer2peer Finance News About New Wind-down Rules
Nick Bayley Speaks to FT Adviser About Potential Defined Benefit Mis-selling Scandal
Nick Bayley Speaks to Investment Week About MiFID Regime Challenges
Mark Turner Discusses New Peer-to-Peer Regulations with Peer2Peer Finance News
