Our award-winning regulatory and compliance consulting team brings a wealth of experience from experts within the financial industry, including former regulators, chief compliance officers, attorneys, chief operating officers and fund administrators. Our seasoned team leverages its extensive knowledge and experience in regulatory enforcement and examinations, complex securities litigation, risk management, governance and operations on behalf of our clients.
Kroll is a global leader in the financial services industry, distinguished by its specialized team and track record of achieving results for clients in handling complex regulatory investigations and exams, conducting mock exams and providing expert testimony. Whether the need for compliance solutions comes from enforcement, litigation, examination, regulation or new rules, we use our knowledge of regulations, operations, risk management and governance to help clients mitigate the risks of adverse outcomes and provide practical compliance support from registration to ongoing compliance assistance. Our expertise spans navigating the Securities and Exchange Commission (SEC), National Futures Association (NFA), Commodity Futures Trading Commission (CFTC) and Financial Industry Regulatory Authority (FINRA) rules and regulations.
We apply decades of collective experience to help clients prepare for regulatory encounters, enhance compliance programs (including identifying pre-and post-acquisition compliance risks), structuring of tailored risk-mitigation policies and procedures and due diligence for fundraising.
Our tailored solutions include:
We work with a broad range of organizations throughout the business lifecycle, including:
Our global compliance team, with expertise across multiple regulators—including the SEC and Financial Conduct Authority (FCA)—guides organizations through the registration process and helps establish comprehensive compliance programs.
With considerable expertise in establishing advisory firms and aiding in initial registrations, our services extend to comprehensive ongoing compliance support for numerous investment advisers and private fund managers globally, ensuring they meet SEC mandates and lower their compliance risks.
Our customized offerings encompass:
Kroll streamlines your regulatory examinations preparedness with a proven, methodical approach, leveraging our experts’ vast industry experience. Our comprehensive mock examination services equip your team with essential guidance. We cover pre-examination preparedness, regulatory encounters in connection with on-site examinations and effective responses to examination and enforcement requests.
Our SEC mock examination services provide:
Our team leverages extensive expertise in regulations, operations, risk management and governance to help clients mitigate the risks of negative outcomes. This includes:
Kroll provides tailored services to assist broker-dealers in meeting regulatory requirements, enhancing compliance programs and navigating the complexities of FINRA rules.
These services cover areas including:
Kroll’s experts specialize in NFA and CFTC registration, providing ongoing support to ensure your organization remains compliant with their rules and requirements.
These services cover:
 | Private Equity Wire US Awards 2024
|
 | Private Equity Wire US Private Credit Awards 2024
|
 | Regulatory Advisory & Compliance Firm of the Year 2024
|
by Colleen Corwell, Hannah Rossiter, Alasdair Putt, Eoin Devlin, Rose Kaufman, Dimitri Parraud, Ana D. Petrovic, Andrew Poole, Rajiv Philip, Gurpreet Kaur, Josh Parker, Karar Kadhim, Kyle Larson
by Ken C. Joseph, Esq., David Larsen
by Aaron Weiss, Colleen Corwell, Hannah Rossiter, Eoin Devlin, Rose Kaufman, Ana D. Petrovic, Andrew Poole, Alasdair Putt, Josh Parker, Rajiv Philip, Amrita Michael
by Ken C. Joseph, Esq., Ana D. Petrovic, Jonathan "Yoni" Schenker, Jack Thomas
End-to-end governance, advisory and monitorship solutions to detect, mitigate, drive efficiencies and remediate operational, legal, compliance and regulatory risk.
Automate routine compliance tasks and stay ahead of risk with Kroll’s regulatory expertise.
End-to-end governance, advisory and monitorship solutions to detect, mitigate and remediate security, legal, compliance and regulatory risk.
