Laura Graham

Laura is a qualified New York lawyer, where she practiced before moving to Hong Kong, with a deep understanding of how regulatory frameworks and changes to legislation or regulations can impact clients’ businesses. Based in Asia for over a decade, she works closely with clients regulated by the Hong Kong Securities and Futures Commission, as well as those regulated by the Monetary Authority of Singapore, the U.S. Securities and Exchange Commission and the U.S. National Futures Association.

Laura’s experience is in leading firmwide regulatory projects, in particular leading inspections and examinations under different regulatory regimes and advising on how best to implement regulatory expectations into firms’ practices and frameworks across different businesses and product lines. Prior to Kroll, Laura was Senior Compliance Officer at Goldman Sachs based in Hong Kong. Spending over a decade on the sell side, Laura built a strong commercial mindset, which she continues to apply to her practice today, and became an expert in different product offerings. She has a strong understanding of the regulatory and compliance concerns that clients may face when dealing in equities, fixed income, derivatives and various structured products.

Laura’s technical expertise in the investment advisory and broker-dealer businesses allows her to work with different types of clients to provide thoughtful and practical regulatory compliance advice. Whilst she has expert knowledge of the Hong Kong Securities and Futures Commission, her practice has also given her exposure to regulators throughout the region putting her in a unique position to advise on clients’ regulatory obligations as they fit into the broader regional landscape. Laura draws on her many years of experience in the regulatory compliance field, providing clients with constructive day-to-day regulatory and compliance advice on a broad range of topical matters including licensing and registration, internal control frameworks, anti-money laundering compliance, governance and senior management obligations, among others.

Before moving to Asia, Laura was an associate in Mayer Brown’s litigation practice in New York where she represented financial institutions with a focus on securities litigation and contract disputes. She holds a J.D. from New York Law School and an L.L.M in international business and trade law from Fordham University. She is a member of the New York Bar and the Law Society of Upper Canada.