Increasingly, regulators are pointing to C-suite and senior-level personnel as gatekeepers and crucial to an effective governance and controls infrastructure at their firms. The failure by the senior-level personnel to effectively supervise the compliance function could have significant legal and reputational consequences to both individuals and the organizations.
Kroll has compiled a suggested list of conversation starters that we recommend every Principal/CEO or supervisor put at the top of the agenda for discussion with the firm’s chief compliance officer.
Financial services firms' regulatory and compliance programs should be complete, effective, and designed to withstand the most stringent regulatory reviews without disrupting the business. In the U.S., a strong compliance program is particularly significant as the SEC continues its intensive investigative and enforcement efforts. The Kroll Financial Services Compliance and Regulation team has first-hand practical knowledge and experience gleaned from years of providing practical start-up and registration assistance, developing effective compliance and regulatory programs, and assisting with regulatory examinations and investigations. Contact Ken Joseph, Peter Wilson or Anna Povinelli now to discuss how we can support your compliance team.
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Comprehensive support for asset managers registering in the U.S.
Our extensive experience includes setting up advisory firms and assisting with initial registration, as well as a wide span of ongoing compliance support services.
Our broker-dealer compliance specialists work with U.S. and international broker-dealers to assist them in meeting regulatory obligations while reducing their compliance risk profile.