The Mid-Year Regulatory Update: Crisis, Volatility and More Regulation
Apr 12, 2023
by Ken C. Joseph, Esq., David Larsen, Julianne Recine, Elizabeth M. Kay, Alan Brill, Hollie Mason

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.
Contact UsDiscover how Kroll built a dedicated client service team for a large banking institution, provided a customized due diligence solution, and saved 70% on their costs over a three-year period. Request our qualifications.
Our broker-dealer compliance specialists are former Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) regulatory professionals, forensic accountants, investigators and industry and technology experts who work with U.S. and international broker-dealers to assist them in meeting regulatory obligations while reducing their compliance risk profile.
Discover how Kroll built a dedicated client service team for a large banking institution, provided a customized due diligence solution, and saved 70% on their costs over a three-year period. Request our qualifications.
Comprehensive compliance and regulatory support for FCA authorized firms.
Expert compliance advice to Asia financial institutions.
Comprehensive compliance and regulatory support for EU firms.
Assistance to develop, implement, and manage global compliance and regulatory consulting programs.