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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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Featured Insights

Financial Compliance Regulation

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

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 Melis, Maria Evstropova, Ken C. Joseph, Esq., Hannah Rossiter, Alan Keating, Malin Nilsson, Aaron 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

Managing Director and Global Head of Financial Services Compliance and Regulation

London