Mon, Apr 27, 2020

Financial Industry Regulatory Authority Update - First Quarter 2020

Stay Ahead with Kroll

Financial Services Compliance and Regulation

Financial Services Compliance and Regulation

End-to-end governance, advisory and monitorship solutions to detect, mitigate, drive efficiencies and remediate operational, legal, compliance and regulatory risk.

U.S. Compliance Services

U.S. Compliance Services

Comprehensive support for asset managers registering in the U.S.

Investment Adviser Services

Investment Adviser Services

Our extensive experience includes setting up advisory firms and assisting with initial registration, as well as a wide span of ongoing compliance support services.

SEC Registration

SEC Registration

Kroll has an experienced team in the U.S. and other global jurisdictions who has helped firms to become SEC registered and advised on exemption requirements.

SEC Mock Examination Services

SEC Mock Examination Services

We have devised a methodical approach to preparing for and navigating any SEC examination.

Broker-Dealer Services

Broker-Dealer 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.

CFTC/NFA Services

CFTC/NFA Services

Comprehensive support to ensure your firm remains in full compliance with ongoing reporting requirements, including preparation for NFA on-site examinations.

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