Mon, Dec 21, 2020
Regulatory Focus – December 2020
In this edition of Regulatory Focus, Duff & Phelps’ compliance experts round up the news and publications from the UK and European regulatory authorities.
Stay Ahead with Kroll
Financial Services Compliance and Regulation
End-to-end governance, advisory and monitorship solutions to detect, mitigate, drive efficiencies and remediate operational, legal, compliance and regulatory risk.
Compliance Consulting
Expert compliance support for a variety of firms including hedge funds, private equity firms, wealth managers, corporate finance and broker-dealers.
FCA Authorization Application for Financial Services
Our authorization service offers a full project management process ensuring that resources can be focused on other areas of the business.
Senior Managers and Certification Regime (SM&CR) Consulting and Implementation Support
Kroll provides a comprehensive range of support to all firms and individuals subject to SM&CR, with solutions that are proportionate, practical and fully compliant with the regulations.
European Compliance Services
Comprehensive compliance and regulatory support for EU firms.
Kroll is headquartered in New York with offices around the world.
55 East 52nd Street 17 Fl
New York NY 10055
Sign up to receive periodic news, reports, and invitations from Kroll.
Our privacy policy describes how your data will be processed.
© 2024 Kroll, LLC. All rights reserved.
Kroll is not affiliated with Kroll Bond Rating Agency,
Kroll OnTrack Inc. or their affiliated businesses. Read more.