Financial Compliance and Regulation

Kroll's compliance experts frequently publish material relating to SEC, CFTC, FCA, MAS and SFC regulatory updates.

Featured Insights

Who is Grading the CCO’s Homework?

Financial Compliance Regulation

Who is Grading the CCO’s Homework?

August 22, 2022

In a risk alert issued on April 26, 2022 (“Risk Alert”), the staff of the SEC’s Division of Examinations (DOE) described certain deficiencies relating to investment advisers’ use of material non-public information (MNPI).

Compliance Impacts of the SEC's New Marketing Rule

Financial Compliance Regulation

Compliance Impacts of the SEC's New Marketing Rule

August 17, 2022

The U.S. Securities and Exchange Commission’s (SEC) new Marketing Rule compliance deadline is November 4, 2022.

Recent Insights

Global Enforcement of Anti-Money Laundering Regulation: Shift in Focus

Global Enforcement of Anti-Money Laundering Regulation: Shift in Focus

by Monique Melis, Maria Evstropova, Ken C. Joseph, Esq., Hannah Rossiter, Malin Nilsson, Aaron Weiss

Regulatory Focus – January 2022

Regulatory Focus – January 2022

February 15, 2022

Electronic Communications Conundrum: Risks vs. Regulatory Obligations

Electronic Communications Conundrum: Risks vs. Regulatory Obligations

February 14, 2022

by Ken C. Joseph, Esq., Steven Hurwitz

AMF and CSSF Regulatory Update—Fourth Quarter 2021

AMF and CSSF Regulatory Update—Fourth Quarter 2021

February 22, 2022

Connect with us

Managing Director and Global Head of Financial Services Compliance and Regulation

+44 (0)20 7089 0820 Monique Melis

Ken C. Joseph, Esq.

Ken C. Joseph, Esq.

Managing Director

Financial Services Compliance and Regulation

+1 646 867 7864 Ken C. Joseph, Esq.

Hannah Rossiter

Hannah Rossiter

Managing Director

Financial Services Compliance and Regulation

+33 (0)6 74 45 55 05 Hannah Rossiter

Managing Director

Financial Services Compliance and Regulation

+44 01534 603 140 Malin Nilsson

Grainne O' Farrelly

Grainne O' Farrelly

Managing Director

Financial Services Compliance and Regulation

Managing Director

Financial Services Compliance and Regulation

+352 2610880621 Anil Singh

Managing Director and Head of Asia Pacific

Financial Services Compliance and Regulation

+852 2281 0123 Aaron Weiss

Managing Director

Financial Services Compliance and Regulation

+44 (0)20 7089 0939

Kroll Unifies Brand to Reflect Strategic Growth and Vision

Kroll Unifies Brand to Reflect Strategic Growth and Vision

January 25, 2022

Kroll Appoints New Leaders as Firm Continues Strategic Transformation

Kroll Appoints New Leaders as Firm Continues Strategic Transformation

December 8, 2021

World’s Biggest Corporates Hit Hardest by Illicit Activity Despite Bolstering Defenses, Reveals Kroll

World’s Biggest Corporates Hit Hardest by Illicit Activity Despite Bolstering Defenses, Reveals Kroll

September 13, 2021

Kroll Launches New KYC Tool, Kroll Business Connect, to Enhance the Efficiency of Onboarding and KYC Checks

Kroll Launches New KYC Tool, Kroll Business Connect, to Enhance the Efficiency of Onboarding and KYC Checks

August 10, 2021

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