the DIRECTORY
The Shard
32 London Bridge Street
London
SE1 9SG
T: 0207 089 4700
E:
www.duffandphelps.com
No. of consultants: 16-20
Geographic area covered: Global
  • National

Duff & Phelps

Duff & Phelps is the premier global valuation and corporate finance advisor with expertise in complex valuation, dispute and legal management consulting, M&A, restructuring, and compliance and regulatory consulting. The firm’s more than 2,000 employees serve a diverse range of clients from offices around the world.

 Duff & Phelps’ Compliance and Regulatory Consulting practice provides a range of award-winning services to the global financial services industry. Our broad expertise includes compliance and regulatory consulting, risk consulting and infrastructure, due diligence, regulatory tax advisory and business services. Drawn from financial institutions, regulators and advisory firms, our team operates seamlessly across borders to help clients build, manage and protect their businesses. We are closely connected with regulators and industry associations so clients have the best available information on regulatory requirements and trends.

types of client firm served:

  • Banks/Deposit Takers
  • Building Societies
  • Collective Investments Funds
  • Corporate Finance Firms
  • Credit Unions
  • Custodians/Depositaries
  • Discretionary fund managers
  • Electronic Money Issuers
  • Energy Market Participants
  • Friendly Societies
  • IFA (incl IFA divisions of financial institutions)
  • Institutional investment management
  • Investment Banks
  • Money Service Businesses
  • Mortgage Lenders/Administrators
  • Multi lateral trading facility
  • Payments Services Institutions
  • Private Client investment management
  • Restricted financial advisers
  • Retail investment management
  • Sale and Rent Back
  • Securities and Futures firms
  • Stockbrokers
  • Trust Service Providers

services offered:

  • Advice pre regulatory risk assessment or supervision visit
  • Authorisation -FCA
  • Client Assets
  • Complaints Handling Reviews
  • Compliance advice
  • Compliance Support
  • Compliance Training
  • Documentation
  • Enforcement Action - AML and Payment Services
  • Enforcement Action - Financial Services
  • Expert Witness - AML and Payment Services
  • Expert Witness - Financial Services
  • File Review
  • Health Checks
  • Marketing and Business Development
  • Mis-selling Reviews
  • Money Laundering/Financial Crime Advice and Reviews
  • Payments Services Registration and Compliance
  • Pension Reviews
  • Regulatory and Examination Training and Coaching
  • Regulatory Returns Assistance
  • Regulatory Updates
  • Skilled Person Panel - Client Assets