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Publications

Compliance Risk

Our Compliance Risk experts regularly publish articles on prevailing anti-money laundering (AML) and anti-bribery and corruption (ABC) risks and trends, from new compliance legislation to emerging regulatory technology. For articles focused on other regulations in the financial services sector, visit our Financial Compliance and Regulation blog.

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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

Compliance Risk

Play the Odds – Manage Your Risks

Mar 31, 2021

by Caroline Leblanc,  Carlos Moio

Compliance Risk

FinCEN’s Recent Customer Due Diligence Guidance for Financial Institutions, Charities and Non-Profits, May Lead to Greater Donor Scrutiny

Dec 16, 2020

by Steven Bock

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

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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.

Our Team

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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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Mariellen Davies-DeMarco
Mariellen Davies-DeMarco
Managing Director
Compliance Risk and Diligence
Washington D.C.
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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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Tom Hollobone
Tom Hollobone
Managing Director
Compliance Risk and Diligence
London
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News

News

Kroll Expands Cloud Security and Red Team Capabilities with Acquisition of Security Compass Advisory

Dec 15, 2021

News

Kroll Named as a Winner at 2021 Computing Security Awards

Dec 09, 2021