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Recent SEC Examination Priorities

Each year, the SEC sets out a number of key priorities for their regulated entities.

Join MyComplianceOffice and Kroll for an in-depth update about how these priorities went during 2022. Learn how to prepare for any upcoming examinations and what we believe to be on the horizon for 2023.

Discover how the annual SEC Examination Priorities Report impacts APAC, including:

  • An introduction to the Securities and Exchange Commission (SEC) and its global supervision
  • Regulatory examinations oversight – SEC’s Division of Examinations (EXAMS)
  • The impact on the Asia-Pacific region
  • EXAMS’ observed 2022 examination priorities
  • An overview of trends in SEC Examinations during 2022
  • Looking ahead to anticipated examination priorities in 2023
  • How RegTech is helping firms uphold compliance

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Kyle Larson is a Vice President in Kroll’s Financial Services Compliance and Regulation group, based in Singapore.  Kyle’s responsibilities include furnishing the full suite of regulatory compliance advisory services to clients across global regulatory topics, with a focus and expertise on Singapore MAS and US SEC and NFA/CFTC licensing, regulatory and project-driven matters.

Kyle is responsible for local, regional and global clients with exposure to the financial regulatory regimes in Singapore, the United States, and Hong Kong.  Kyle also works with fund managers, licensed brokers and other financial businesses across Asia Pacific, including in mainland China, Korea, and Japan (among others), who must meet certain global best practice standards (especially for those whose local jurisdiction may not have implemented a globally-recognised regulatory framework).  He specializes in the integration of MAS, SEC, NFA/CFTC, and SFC regulatory requirements into streamlined policies and procedures, as well as global best practices assessments and due diligence projects.

Kyle utilizes his extensive experience from his time in the US, prior to his relocation to SG, to advise Singapore, Hong Kong, China and regional clients on complex US SEC, NFA, CFTC and FINRA rules that may impact fund managers and brokers based in Asia Pacific. This may include advising on SEC requirements for the Annual Review, regulatory examinations (both mock and actual), marketing materials review, compliance monitoring implementation, and compliance program refurbishments and revitalizations, all while considering the commercial and compliance impact for businesses operating in Asia Pacific.

Kyle is a qualified lawyer, registered with the New York State Bar Association, with experience at corporate law firms drafting, reviewing, and assessing the legal documents that substantiate complex corporate transactions.  He holds a juris doctorate (cum laude) from SUNY at Buffalo and a B.A. in philosophy (magna cum laude) from the University of Maryland at College Park.

Kyle Larson

Vice President, Singapore
Financial Services Compliance and Regulation

Pranavi Kapur is a Vice President in Kroll’s Financial Services Compliance and Regulation group, based in Hong Kong.  Pranavi has wide-ranging expertise in the integration of US SEC and US NFA licensing and ongoing regulatory compliance matters into a Hong Kong SFC and Singapore MAS regulatory framework & compliance program.  Her client base is extensive, inclusive of fund managers, brokers, marketing firms, platforms and other regulated financial intermediaries.

Pranavi works with her clients on Hong Kong, Singapore and US requirements focusing on licensing, ongoing day-to-day regulatory obligations, inspections/examinations and policies & procedures.  She applies a business-minded approach to her regulatory advisory work, incorporating methodologies aimed at achieving operational and commercial success for her clients. 

In addition to the US and Hong Kong licensing and ongoing regulatory advisory matters, Pranavi also works on specialized projects and advises clients on complex SEC and NFA regulatory concerns, especially while navigating the effects such US-related complexities have on the MAS and SFC regimes.  She has led the support of various Asia based managers during complex compliance examinations by the SEC, SFC and the NFA.  Furthermore, she provides counsel on Anti-Money Laundering/Know-Your-Customer requirements, marketing disclosures and requirements for all the aforementioned global jurisdictions, investor suitability as well as institutional governance and risk management frameworks. 

Prior to joining Kroll, Pranavi worked as an operational risk and Foreign Corrupt Practices Act specialist and consulted Fortune 500 companies on the adequacy of their internal control frameworks. Pranavi holds an MBA from The University of Hong Kong (HKU).

Pranavi Kapur

Vice President, Hong Kong
Financial Services Compliance and Regulation

Kelly-Ann McHugh is the director of Asia Pacific for MyComplianceOffice, based in Singapore.

She’s a passionate business leader focused on technology, risk, and compliance.

Kelly-Ann has a proven record in Business Analysis, Consulting and Software Solutions, which has enabled her to turn customer challenges with regulatory compliance management into long-term solutions.

Kelly-Ann McHugh

APAC Director