Regional

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.

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Regional

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Compliance

Dealing with the Regulators: FCA Authorization or Hosting Solution?

Compliance
Compliance

AMF Update – Second Quarter 2020

Compliance
Compliance

Are You Affected by The Securities Financing Transaction Regulation (SFTR)?

Compliance
Compliance

Extension of the Senior Managers and Certification Regime (SM&CR) Implementation Periods for Solo-Regulated Firms

Compliance

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