Fri, Jul 3, 2020
In the latest edition of the U.S. Regulatory Roundup, Duff & Phelps' Compliance and Regulatory Consulting practice outlines updates, enforcement and judicial actions from the SEC, FINRA and NFA.
Jul 03, 2020
End-to-end governance, advisory and monitorship solutions to detect, mitigate, drive efficiencies and remediate operational, legal, compliance and regulatory risk.
Comprehensive support for asset managers registering in the U.S.
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.
We have devised a methodical approach to preparing for and navigating any SEC examination.
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.
Comprehensive support to ensure your firm remains in full compliance with ongoing reporting requirements, including preparation for NFA on-site examinations.