Pranavi Kapur

She works closely with clients regulated by the Hong Kong Securities and Futures Commission (SFC), the U.S. Securities and Exchange Commission (SEC) and the U.S. National Futures Association (NFA). Pranavi has deep technical expertise in integrating U.S. SEC and U.S. NFA compliance frameworks into both Hong Kong SFC and Monetary Authority of Singapore (MAS) regulatory frameworks. Her extensive client experience includes working with fund managers, brokers, marketing firms and other regulated financial intermediaries globally.

Pranavi provides regulatory and compliance services to clients in APAC, focusing on regulatory licensing, meeting day-to-day regulatory and compliance obligations, enhancing and embedding compliance documents, policies and procedures. She applies a business-oriented approach to regulatory advisory services, incorporating methodologies aimed at achieving both operational and commercial success for her clients. Pranavi has also assisted clients in preparing due diligence requests from a regulatory perspective.

In addition to advising on U.S. and Hong Kong licensing and regulatory advisory matters, Pranavi also works on specialized projects and provides guidance on complex SEC and NFA regulatory concerns, helping clients navigate the regulatory landscape. She has led the support of various Asia-based managers during compliance examinations by the SEC, SFC, and NFA. Additionally, she provides counsel on internal control reviews, anti-money laundering/know-your-customer requirements, marketing disclosures and requirements, compliance training, investor suitability and institutional governance and risk management frameworks covering Hong Kong, Singapore and U.S. regulations.

Prior to joining Kroll, Pranavi worked as Operational Risk and Foreign Corrupt Practices Act Specialist and consulted Fortune 500 companies on the adequacy of their internal control frameworks. Pranavi holds an MBA from The University of Hong Kong.