Fri, Jan 8, 2021
Quarterly U.S. Regulatory Roundup – Fourth Quarter 2020
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.
US Regulation
SEC Registration
Kroll has an experienced team in the U.S. and other global jurisdictions who has helped firms to become SEC registered and advised on exemption requirements.
SEC Mock Examination Services
We have devised a methodical approach to preparing for and navigating any SEC examination.
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.
Broker-Dealer Services
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.
CFTC/NFA Services
Comprehensive support to ensure your firm remains in full compliance with ongoing reporting requirements, including preparation for NFA on-site examinations.
