Financial Services Compliance and Regulation
In the ever-evolving financial services landscape, Kroll’s award-winning team offers comprehensive regulatory and compliance services, guiding clients through registration, licensing and compliance support to minimize risks and enhance efficiency globally.
Global Compliance and Regulatory Expertise
Kroll’s experts provide a broad range of services to financial institutions worldwide, supporting sell-side banks, brokers and buy-side asset, and wealth managers. We guide clients through every stage to minimize regulatory risks and enhance operational efficiency.
Our services are tailored to meet the unique needs of each client. We provide specialist support through ongoing advisory services or one-off thematic or event-driven reviews. Financial institutions, both regulated and unregulated, rely on our expert global teams for support throughout the business life cycle, including domestic and cross-border assignments.
Our Clients
- Private funds: hedge, equity, credit, real estate
- Wealth managers and investment advisers
- Registered investment companies (RICs)
- Business development companies (BDCs)
- Broker-dealers
- Venture capitalists
- Trust, corporate and fund administrators
- Crypto asset service providers
- Management companies and authorized corporate directors
- Trading venues and clearing houses
- Custodians
- Credit, mortgage and finance providers
- Crowdfunding platforms and peer-to-peer lenders
- Insurance companies and brokers
Regulatory Expertise and Advisory Services
Our team provides specialized regulatory expertise in governance, risk and compliance to a wide array of financial institutions.
With a deep pool of talent, our industry experts provide tailored and relevant advice, leveraging their experience from leading financial institutions, regulators and professional advisory firms.
Expert Team | Connected | Focused |
|---|---|---|
Multidisciplinary professionals with extensive technical and industry experience. | Strong industry connections and insights across the globe. | Dedicated to delivering precise and relevant regulatory advice. |
Kroll's 2025 Financial Crime Report
From pivotal elections to advances in AI to heightened geopolitical tensions, the events of the past year have only amplified the challenges of fighting financial crime. Based on data from over 600 executives across the globe, our report provides insight to help leaders prepare for what’s next.
Stay Ahead with Kroll
Skilled Person and Regulator Commissioned Reviews
Kroll partners with regulators and firms worldwide to deliver comprehensive skilled person reports, address risks and resume to business as usual. We streamline processes, allowing firms to tackle challenges, ensure compliance, and prioritize their core business.
Regulatory Due Diligence
Kroll is a leader in performing regulatory and compliance reviews that complement the financial, commercial and legal M&A transaction due diligence process.
Global Regulatory Licensing Services
Kroll's expert team provides regulatory registration and licensing services taking the burden of regulatory requirements off business operators. We partner with you to answer regulator queries and assist you in developing a tailored operational framework that meets regulator and investor expectations.
Retained Compliance Support and Managed Services
Kroll provides comprehensive retained and ad hoc regulatory compliance consulting services, ensuring firms maintain a competitive edge amid evolving regulatory landscapes across the UK, Europe, North America, Hong Kong and Singapore.
Regulatory Advisory and Assurance Services
In an era of increasing regulatory scrutiny, Kroll stands as a premier provider of Regulatory Advisory and Assurance Services to the financial services industry. Our award-winning team helps clients navigate complex regulatory landscapes, offering tailored solutions from governance and risk management to financial crime prevention and investment compliance.
Financial Services Internal Audit
Kroll’s Financial Services Internal Audit practice has specialist teams with subject matter experts who help our clients properly manage their major risks. We provide value-adding ideas and solutions to help achieve your business objectives.
Regulatory Hosting
Kroll operates several regulated platforms designed for clients wishing to conduct investment advice, arrange deals or operate private funds or alternative investment funds via our UK regulatory hosting solution.
Managed Compliance Software
Automate routine compliance tasks and stay ahead of risk with Kroll’s regulatory expertise.
