Compliance and Regulation

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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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Featured Insights

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

Learn How Clients Stay Ahead with Kroll

Explore Our Client Stories
Learn How Clients Stay Ahead with Kroll

Kroll Helped Recover Billions for Victims of the Bernie Madoff Ponzi Scheme

Discover how Kroll was uniquely positioned to provide multi-faceted analyses and solutions to help with lawsuits regarding Bernie Madoff’s firm and the largest Ponzi scheme in U.S. history.

Kroll Helped Recover Billions for Victims of the Bernie Madoff Ponzi Scheme.
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Investigating and Protecting against C-Suite Level Fraud

Discover how Kroll’s Forensic Investigations, Cyber Risk, and Security Risk Management teams came together to help a client identify, investigate, and protect against C-suite level fraud and credit card abuse.

Investigating and Protecting against C-Suite Level Fraud
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See all servicesStay Ahead with Kroll

Anti-Money Laundering

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

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

Background Screening and Due Diligence

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

Compliance Program Consulting

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

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

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
London
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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
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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