Michael Frasier

Director

Financial Services Compliance and Regulation

Michael Frasier +1 6172107476 [email protected]

AT A GLANCE

Michael Frasier is Director in the Financial Services Compliance and Regulation practice, based in Boston. He leverages over two decades of experience in assisting industry firms navigate complex regulations by serving as an in-house Compliance Officer and outsourced Chief Compliance Officer, including both registered investment advisors and broker-dealers.

Prior to joining Kroll, Michael served as Consultant at ACA, where he advised a range of firms on complex regulations. Before that, he held the title of Compliance Officer at Cantella & Company, a national broker-dealer and registered investment adviser headquartered in Boston.

Michael has led numerous SEC and FINRA examinations and possesses deep expertise across a broad spectrum of investment products, including private placements, asset management strategies and securities trading, with experience in fixed income and options.

Michael holds a B.S. in industrial management from the University of Massachusetts Lowell. He is a Certified Regulatory Compliance Professional (CRCP) and previously held the title of Accredited Investment Fiduciary (AIF). He also holds FINRA Series 4, 7, 24, 53 and 63 licenses.

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Financial Services Compliance and Regulation

In the ever-evolving financial services landscape, Kroll's award-winning team offers comprehensive regulatory and compliance services, guiding clients through registration, licensing, and compliance support to minimize risks and enhance efficiency globally.

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