The regulatory landscape for investment advisers has never been more demanding.
Our clients include hundreds of investment advisers and private fund managers, both in the U.S. and internationally, who rely on us to help them meet their regulatory obligations and reduce their compliance risk profiles, including those mandated by the SEC. Duff & Phelps’ extensive experience includes setting up advisory firms and assisting with initial registration, as well as a wide span of ongoing compliance support services.
Our list of services includes:
- SEC registration
- SEC mock exam
- Annual compliance review, in accordance with Rules 206 (4)-7
- Gap Analysis of compliance and operations program
- Operational due diligence reviews
- Vendor due diligence
- Risk assessment and risk management
- Regulatory Exam Support
- Ongoing compliance support (Form ADV and PF filings, electronic communication review, review of marketing materials, review of personal trading, annual compliance training, development of policies and procedures, regular consultation with Duff & Phelps team)