Financial Compliance and Regulation

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

2023 Fraud and Financial Crime Report

2023 Fraud and Financial Crime Report

Kroll analyzed global data from 400 senior leaders across three continents to gain insights into the current financial crime landscape and learn how technology might stop the threat of economic, crypto and ESG crimes.

Key findings from the report include:

  • 69% of global respondents expect financial crime risks to increase over the next 12 months.
  • More than two-thirds of respondents plan to invest in technology to tackle the expected increase in financial crime.
  • More than half cite evolving technologies, digital currencies, data privacy and geopolitical tension as challenges posed to government in fighting financial crime.
  • 91% of respondents report using fraud monitoring tools to stay ahead of risk.
 

Download the Report

Expected Consequences Stemming From the Easing of U.S. Sanctions on Venezuela

Expected Consequences Stemming From the Easing of US Sanctions on Venezuela

On October 18, 2023, the U.S. Department of the Treasury announced it had taken additional steps in its approach to ease sanctions on Venezuela.

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SEC Division of Examinations Announces 2024 Priorities

SEC Division of Examinations Announces 2024 Priorities

The Securities and Exchange Commission’s (SEC) Division of Examinations (Division) released its examination priorities, highlighting a variety of recurring and new risk areas.

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The Financial Promotions Gateway: Ongoing Enhancement of the Regulatory Regime

The Financial Promotions Gateway: Ongoing Enhancement of the Regulatory Regime

On November 6, 2023, the FCA will open the Financial Promotions Gateway. Firms must apply to continue approving promotions for unregulated third parties. If not, they must cease the activity by February 7, 2024

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Regulatory Advisory and Assurance Services

Within our Regulatory Advisory and Assurance Services, we assist financial services firms in a range of engagements across our suite of subject matter expertise.

Regulatory Hosting and Management Company Services

Kroll operates several regulated platforms designed for clients wishing to conduct investment advice, arrange deals or operate private funds, UCITS funds and alternative investment funds via our UK regulatory hosting solution or our Luxembourg-based management company.