Financial Compliance Regulation Insights

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Financial Compliance and Regulation

Kroll's compliance experts frequently publish material relating to SEC, CFTC, FCA, MAS and SFC regulatory updates.

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Regulatory Updates

Preparing for the Consumer Duty – Monitoring and Driving Customer Outcomes Using Data

Preparing for the Consumer Duty – Monitoring and Driving Customer Outcomes Using Data

Mar 24, 2023 In this article, we set out how firms are expected to take a data-led approach to assess and evidence the testing of outcomes throughout the consumer journey and product and service lifecycle.

Economic Outlook

Ten Practical Strategies SEC Regulated Advisers Regional Banking Crisis

Ten Practical Strategies for SEC-Regulated Advisers in the Wake of the Regional Banking Crisis

Mar 13, 2023 Kroll regulatory compliance subject matter experts, in conjunction with Kroll Institute Fellows, have been evaluating developments in the banking sector, with a particular focus on the impact that the current banking crisis will have on the registered investment adviser (RIA) community.

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Monique Melis
Monique Melis
Managing Director and Global Head of Financial Services Compliance and Regulation
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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Ian Manson
Ian Manson
Managing Director
Financial Services Compliance and Regulation
London
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Hannah Rossiter is a director at Duff & Phelps.
Hannah Rossiter
Managing Director
Financial Services Compliance and Regulation
Paris
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Malin Nilsson is a managing director at Duff & Phelps.
Malin Nilsson
Managing Director
Financial Services Compliance and Regulation
Jersey
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Grainne OFarrelly
Grainne O' Farrelly
Managing Director
Financial Services Compliance and Regulation
Dublin
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Anil Singh
Anil Singh
Managing Director
Financial Services Compliance and Regulation
Luxembourg
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Aaron Weiss
Aaron Weiss
Managing Director and Head of Asia Pacific
Financial Services Compliance and Regulation
Singapore
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Nicolas Inman
Nicolas Inman
Managing Director
Financial Services Compliance and Regulation
London
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Kroll operates regulated platforms for private funds and UCITS clients through our UK hosted regulatory solution and Luxembourg- and Ireland-based management companies.

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