U.S. Compliance Services

Kroll's award-winning compliance consulting team has extensive experience in financial services and advisory industries, drawn from roles such as attorneys, chief compliance officers, chief operating officers, fund administrators and regulators.

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Regulatory and compliance programs for financial services firms should be complete, effective and designed to withstand the most stringent regulatory reviews – without disrupting the business. The best regulatory and compliance programs seamlessly integrate into the firm’s business operations. This enables firms to save costs and prevent reputational damage resulting from regulatory enforcement or criminal and civil penalties.

In the U.S., a strong compliance program is particularly significant as the U.S. Securities and Exchange Commission (SEC) continues its intensive investigative and enforcement efforts. Meanwhile, regulation of the U.S. investment advisory industry continues to expand, with new efforts across U.S. regulators, including the National Futures Association (NFA) and the Financial Industry Regulatory Authority (FINRA). In the U.S., compliance programs are also expanding their focus on areas such as cyber security and AML measures.

Kroll works with a broad range of firms throughout the business lifecycle, including U.S. and global investment advisers, hedge funds, private equity funds, broker-dealers, BDCs, venture capital funds, wealth managers, mutual funds and other alternative and traditional asset managers.

Our 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. Our dedicated U.S. Compliance Consulting team has in-depth knowledge of the SEC registration process, rules and regulations (including Dodd-Frank and its implications), as well as CFTC, NFA, and FINRA registration and reporting requirements. Our global presence enables us to assist clients to streamline compliance practices and procedures that meet global regulatory standards, including those from the UK’s Financial Conduct Authority (FCA), Hong Kong’s Securities and Futures Commission (SFC), Singapore Monetary Authority (MAS) and other jurisdictional regulators.

Related Team

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Ken C. Joseph
Ken C. Joseph, Esq.
Managing Director
Financial Services Compliance and Regulation
New York
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Anna Povinelli
Anna Povinelli
Managing Director
Financial Services Compliance and Regulation
New York
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Alyssa Heim
Alyssa Heim
Managing Director
Financial Services Compliance and Regulation
Los Angeles
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Global Enforcement of Anti-Money Laundering Regulation: Shift in Focus

Global Enforcement Review

While anti-money laundering (AML) continues to dominate global financial crime regulation, enforcement activity is slowing as attention turns from banks to other financial institutions.

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Global Enforcement Review

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Expert analysis to help clients understand, prevent and manage fraud.

Regulatory Updates


Impact of SEC Form PF Amendments on Fund Advisers

May 10, 2023

by Ken C. Joseph, Esq.Anna PovinelliAlyssa Heim

Regulatory Updates


Major Decision by the Court of Justice of the European Union on Public Access to Information on Beneficial Ownership

Dec 12, 2022

by Maria Evstropova

Financial Compliance Regulation


Case Study: Broker-Dealer Acquisition Diligence

Oct 07, 2022

Financial Compliance Regulation


FCA’s “Dear CEO” Letter: Alternatives Supervisory Strategy

Sep 05, 2022

by Jane Stoakes Matteo Basso, Amelie Snape, Remmert Keijzer

Financial Compliance Regulation


Who is Grading the CCO’s Homework?

Aug 22, 2022

by Eric Swick

Compliance


Compliance Impacts of the SEC's New Marketing Rule

Aug 17, 2022

by Anna PovinelliKen C. Joseph, Esq.Betty Valouktzis

SEC


The SEC Under the Biden Administration

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ESG


ESG and ODD

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REGULATORY/COMPLIANCE


Governance and Diversity

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Due Diligence


Crypto Currency Due Diligence

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News

News


Kroll Named Best Regulatory and Compliance Firm at Private Equity Wire US Awards 2022

Nov 07, 2022

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