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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Valuation
Valuation of businesses, assets and alternative investments for financial reporting, tax and other purposes.
Cyber Risk
Incident response, digital forensics, breach notification, managed detection services, penetration testing, cyber assessments and advisory.
Compliance and Regulation
End-to-end governance, advisory and monitorship solutions to detect, mitigate and remediate security, legal, compliance and regulatory risk.
Corporate Finance and Restructuring
M&A advisory, restructuring and insolvency, debt advisory, strategic alternatives, transaction diligence and independent financial opinions.
Investigations and Disputes
World-wide expert services and tech-enabled advisory through all stages of diligence, forensic investigation, litigation, disputes and testimony.
Digital Technology Solutions
Digital technology solutions enrich our comprehensive professional services, providing an integrated software platform that allows you to easily discover, quantify, and manage a broad spectrum of risks in the corporate and private capital market ecosystem.
Business Services
Expert provider of complex administrative solutions for capital events globally. Our services include claims and noticing administration, debt restructuring and liability management services, agency and trustee services and more.
Environmental, Social and Governance
Advisory and technology solutions, including policies and procedures, screening and due diligence, disclosures and reporting and investigations, value creation, and monitoring.
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, Alan Keating, Malin Nilsson, Aaron Weiss
Quarterly U.S. Regulatory Roundup – Fourth Quarter 2020
Jan 08, 2021
