Investment Adviser Services
Our extensive experience includes setting up advisory firms and assisting with initial registration, as well as a wide span of ongoing compliance support services.
Contact UsExplore Financial Services Compliance and Regulation
Our clients include hundreds of investment advisers and private fund managers, both in the U.S. and internationally, who rely on us to help them meet their regulatory obligations and reduce their compliance risk profiles, including those mandated by the SEC. Kroll’s extensive experience includes setting up advisory firms and assisting with initial registration, as well as a wide span of ongoing compliance support services.
Our list of services includes:
- SEC registration
- SEC mock exam
- Annual compliance review, in accordance with Rules 206 (4)-7
- Gap Analysis of compliance and operations program
- Operational due diligence reviews
- Vendor due diligence
- Risk assessment and risk management
- Regulatory Exam Support
- Ongoing compliance support (Form ADV and PF filings, electronic communication review, review of marketing materials, review of personal trading, annual compliance training, development of policies and procedures, regular consultation with Kroll team)
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ServicesStay Ahead with Kroll
Investment Adviser Services
Our extensive experience includes setting up advisory firms and assisting with initial registration, as well as a wide span of ongoing compliance support services.
UK Compliance Services
Comprehensive compliance and regulatory support for FCA authorized firms.
Asia Compliance Services
Expert compliance advice to Asia financial institutions.
European Compliance Services
Comprehensive compliance and regulatory support for EU firms.
Regulatory Advice and Consulting Services
Assistance to develop, implement, and manage global compliance and regulatory consulting programs.
Risk Alert : The SEC Re-confirms Its Framework For CCO Liability
Jul 14, 2022
by Ken C. Joseph, Esq., Anna Povinelli
Global Enforcement of Anti-Money Laundering Regulation: Shift in Focus
Mar 17, 2022
by Monique Melis, Maria Evstropova, Ken C. Joseph, Esq., Hannah Rossiter, Malin Nilsson, Aaron Weiss
Quarterly U.S. Regulatory Roundup – Fourth Quarter 2020
Jan 08, 2021
