Investment Adviser Services

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)


     

/services/compliance-and-regulatory-consulting/regional/us-regulation/investment-advisor-services /-/media/feature/services/compliance-and-regulatory-consulting/crc-main-desktop-banner.jpg service

Regional

Contact Us

Other Areas We Can Help

US Regulation

Comprehensive support for asset managers registering in the U.S.

US Regulation

Alternative Asset Advisory

Provides an array of consulting services to alternative investment managers and investors.

Alternative Asset Advisory

Business Services

Broad and integrated range of regulatory financial reporting, company secretarial, and payroll services.

Business Services

Insights

Compliance

Observations from OCIE’s Multi-Branch Initiative

Compliance
Article

Enforcement Matters – Third Quarter 2020

Article
Article

Financial Industry Regulatory Authority Update – Third Quarter 2020

Article
Article

National Futures Association – Third Quarter 2020

Article

News