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Compliance and Regulation

End-to-end governance, advisory and monitorship solutions to detect, mitigate and remediate operational, legal, compliance and regulatory risks.

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Financial Compliance Regulation

Who is Grading the CCO’s Homework?

Aug 22, 2022 In a risk alert issued on April 26, 2022 (“Risk Alert”), the staff of the SEC’s Division of Examinations (DOE) described certain deficiencies relating to investment advisers’ use of material non-public information (MNPI).

Financial Compliance Regulation

Compliance Impacts of the SEC's New Marketing Rule

Aug 17, 2022 The U.S. Securities and Exchange Commission’s (SEC) new Marketing Rule compliance deadline is November 4, 2022.

Recent Insights

Compliance

Global Regulatory Outlook 2021

Feb 16, 2021

Compliance

Regulatory Focus – December 2021

Dec 09, 2021

Compliance

ESG Investing and the Outcome of COP26

Dec 13, 2021

by Kevin Braine, Andrew Probert, Nathalia Cantanhede

Compliance Risk

Incorporating Carbon Audits Into a Holistic ESG Approach

Nov 22, 2021

by David Liu

Compliance Risk

Green Rush to Renewables – The Perfect Climate for Corruption

Jul 22, 2021

by Tom Hollobone, Dominic Lynch

Compliance

Demystifying the MAS’ 2021 Technology Risk Management Guidelines

Apr 05, 2021

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Anti-Money Laundering

Kroll’s anti-money laundering (AML) solutions are designed to help minimize the risks associated with money laundering and other illicit activities and to ensure compliance through the development and management of ongoing compliance programs and processes.

Financial Services Compliance and Regulation

End-to-end governance, advisory and monitorship solutions to detect, mitigate, drive efficiencies and remediate operational, legal, compliance and regulatory risk.

Screening and Due Diligence

Comprehensive spectrum of risk-based screening and due diligence solutions.

Compliance Program Consulting

Kroll is trusted by companies worldwide to help establish policies and programs aimed toward preventing fraud and complying with anti-money laundering (AML) and anti-bribery and corruption regulations.