Compliance and Regulation

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?

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

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

Explore Kroll’s Resource Center for Distressed Situations

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Distressed Situations Resource Center

Still Not a Banking Crisis

Mar 17, 2023 -What does the financial instability over the past week in the U.S. and Europe mean for the economy and central banks? Megan Greene, Global Chief Economist at Kroll, shares her insights. Read more.

Still Not a Banking Crisis

Venture Capital: Surviving the VC Winter

Mar 15, 2023 -In this article, we provide a high-level overview of recent developments in the venture capital industry and the action that can be taken by investors and startups to mitigate the impact of the challenges being faced including to preserve liquidity and minimize or avoid short term distress. Read more.

Venture Capital: Surviving the VC Winter

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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.

Background Screening and Due Diligence

Comprehensive spectrum of background checks, screening and due diligence services.

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.

Monitorships

Kroll evaluates, oversees and tests organizations for compliance with any number of laws and regulations on a mandatory or voluntary basis.

Security Risk Management

Helping clients anticipate and respond to a myriad of facility and employee security challenges.

Our Team

Connect with us

Monique Melis
Monique Melis
Managing Director and Global Head of Financial Services Compliance and Regulation
London
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Steven Bock
Steven Bock
Managing Director and Global Head of Compliance Risk and Diligence
Compliance Risk and Diligence
New York
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Kevin Braine
Kevin Braine
Managing Director and Global Head of Research and Operations
Compliance Risk and Diligence
London
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Ken C. Joseph
Ken C. Joseph, Esq.
Managing Director
Financial Services Compliance and Regulation
New York
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Nicolas Inman
Nicolas Inman
Managing Director
Financial Services Compliance and Regulation
Hong Kong
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David Liu
David Liu
Regional Managing Director, Asia-Pacific
Environmental, Social and Governance Advisory Services (ESG)
Hong Kong
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Timothy V Horner
Timothy V. Horner
Senior Managing Director and Global Head of Security Risk Management
Security Risk Management
New York
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Tom Everett Heath
Tom Everett Heath
Global Head of Forensic Investigations and Intelligence
Forensic Investigations and Intelligence
London
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