Financial Compliance and Regulation

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

Featured Insights

Compliance
Regulatory Focus – February 2022

Regulatory Focus – February 2022

Apr 05, 2022 In this edition, Kroll’s compliance experts round up key news and publications from the FCA during December 2021 and January and February 2022.

Client Alert
Key Insights: SEC Fund Rule Proposals

Key Insights: SEC Fund Rule Proposals

Feb 15, 2022 On February 9, 2022 the SEC proposed significant rule changes

Recent Insights
Compliance

Global Enforcement of Anti-Money Laundering Regulation: Shift in Focus

Mar 17, 2022

by Monique MelisMaria EvstropovaKen C. Joseph, Esq.Hannah RossiterAlan KeatingMalin NilssonAaron  Weiss

Compliance

Regulatory Focus – January 2022

Feb 15, 2022

Compliance

Electronic Communications Conundrum: Risks vs. Regulatory Obligations

Feb 14, 2022

by Ken C. Joseph, Esq.Steven Hurwitz

Compliance

AMF and CSSF Regulatory Update—Fourth Quarter 2021

Feb 22, 2022

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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 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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Nick Bayley
Nick Bayley
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
Channel Islands
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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
Financial Services Compliance and Regulation
Hong Kong
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Nicolas Inman
Nicolas Inman
Managing Director
Financial Services Compliance and Regulation
Hong Kong
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Dec 08, 2021

News

World’s Biggest Corporates Hit Hardest by Illicit Activity Despite Bolstering Defenses, Reveals Kroll

Sep 13, 2021

News

Kroll Launches New KYC Tool, Kroll Business Connect, to Enhance the Efficiency of Onboarding and KYC Checks

Aug 10, 2021