April 24 - 27, 2022
The Ritz-Carlton, Grand Cayman

Peter Wilson
Managing Director, Financial Services Compliance and Regulation at Kroll

Profile

Peter W. Wilson, Esq. is a managing director of Financial Services Compliance and Regulation practice at Kroll (Duff & Phelps rebranded as Kroll in 2021), based in the New York office. He has over 18 years of legal and regulatory experience, and specializes in counseling a variety of investment advisers, including those managing hedge funds, private equity and real estate funds. 

 

Peter’s expertise includes designing compliance programs, implementing industry best practices, conducting mock regulatory examinations, supporting regulatory filings and performing operational due diligence. He also has significant experience guiding advisers through regulatory examinations and corresponding with federal and state securities regulators and advises and trains managers on best practices related to investment research, treatment of material non-public information and information barriers. 

 

Peter held numerous senior level management positions within the asset management industry. Prior to joining the firm, he served as chief compliance officer and legal counsel for several SEC-registered entities, including an investment adviser to a global multi-billion dollar fund-of-hedge funds and a number of mutual funds. Peter also served as chief compliance officer at a CFTC registered swap execution facility where he oversaw firm wide compliance management and strategy, designed operational systems and implemented robust controls to promote sound governance of the trading platform. 

 

Peter began his legal career in the U.S. Army JAG Corps, where he held numerous positions including prosecutor and criminal defense trial attorney. In addition, he served as the Legal Advisor to the Commandant at the U.S. Military Academy at West Point. 

 

He is admitted to practice law in New York, Connecticut and before the U.S. District Court for the Southern District of New York. 

Agenda Sessions

  • SEC 2021 update – Examining the latest priorities and exam questions. Please note that this session will not be recorded.

    1:30pm