Financial Compliance and Regulation

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

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


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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Connect with us

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
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
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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