Financial Services Compliance and Regulation

Kroll’s global team of recognized experts provides financial services clients with end-to-end compliance and regulatory services, working alongside you to minimize risks, drive efficiencies, and ensure compliance. We also operate regulatory platforms for private funds and UCITS clients through our UK-based hosted solution and Luxembourg- and Ireland-based management companies.
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We deliver on time, within budget and to the highest quality standards, always striving to exceed expectations. We operate with a non-silo approach as one united team to offer a global solution to our clients, who value the clear communication and exemplary service they receive from the start.

Our approach is backed by our powerful team of compliance and regulatory consultants, who are experts in the financial services industry and well connected locally and globally. Our experts previously served in numerous capacities including former regulators, chief compliance officers and legal counsel. This diversity of experience proves critical when navigating our clients through complex regulatory matters.

Our global team operates seamlessly across jurisdictions to provide clients with cross-jurisdictional advice and integrated expertise. The powerful combination of our unique focus on financial services, team of industry recognized experts and “one team” approach allows clients to receive seamless service, relevant guidance and extensive insight to overcome the challenges they face.

Our Unique Framework

Providing a deep pool of talent, our industry experts bring unrivalled experience and insight to our clients so that our advice is tailored and relevant to specific requirements.

We deliver on time, within budget and to the highest quality standards, always striving to exceed expectations. We operate with a non-silo approach as one united team to offer a global solution to our clients, who value the clear communication and exemplary service they receive from the start.

Our approach is backed by our powerful team of compliance and regulatory consultants, who are experts in the financial services industry and well connected locally and globally. Our experts previously served in numerous capacities including former regulators, chief compliance officers and legal counsel. This diversity of experience proves critical when navigating our clients through complex regulatory matters.

Our global team operates seamlessly across jurisdictions to provide clients with cross-jurisdictional advice and integrated expertise. The powerful combination of our unique focus on financial services, team of industry recognized experts and “one team” approach allows clients to receive seamless service, relevant guidance and extensive insight to overcome the challenges they face.

Our Unique Framework

Providing a deep pool of talent, our industry experts bring unrivalled experience and insight to our clients so that our advice is tailored and relevant to specific requirements.

We deliver on time, within budget and to the highest quality standards, always striving to exceed expectations. We operate with a non-silo approach as one united team to offer a global solution to our clients, who value the clear communication and exemplary service they receive from the start.

Our approach is backed by our powerful team of compliance and regulatory consultants, who are experts in the financial services industry and well connected locally and globally. Our experts previously served in numerous capacities including former regulators, chief compliance officers and legal counsel. This diversity of experience proves critical when navigating our clients through complex regulatory matters.

Our global team operates seamlessly across jurisdictions to provide clients with cross-jurisdictional advice and integrated expertise. The powerful combination of our unique focus on financial services, team of industry recognized experts and “one team” approach allows clients to receive seamless service, relevant guidance and extensive insight to overcome the challenges they face.

Our Unique Framework

Providing a deep pool of talent, our industry experts bring unrivalled experience and insight to our clients so that our advice is tailored and relevant to specific requirements.

We deliver on time, within budget and to the highest quality standards, always striving to exceed expectations. We operate with a non-silo approach as one united team to offer a global solution to our clients, who value the clear communication and exemplary service they receive from the start.

Our approach is backed by our powerful team of compliance and regulatory consultants, who are experts in the financial services industry and well connected locally and globally. Our experts previously served in numerous capacities including former regulators, chief compliance officers and legal counsel. This diversity of experience proves critical when navigating our clients through complex regulatory matters.

Our global team operates seamlessly across jurisdictions to provide clients with cross-jurisdictional advice and integrated expertise. The powerful combination of our unique focus on financial services, team of industry recognized experts and “one team” approach allows clients to receive seamless service, relevant guidance and extensive insight to overcome the challenges they face.

Our Unique Framework

Providing a deep pool of talent, our industry experts bring unrivalled experience and insight to our clients so that our advice is tailored and relevant to specific requirements.

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Skilled Person and Regulator Commissioned Reviews

Kroll works with regulators and firms around the world to deliver comprehensive skilled person reports, address risks and return to business as usual.

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 compliance consulting team provides regulatory registration and licensing services taking the burden of regulatory requirements off business operators.


Retained Compliance Support and Managed Services

With expertise in diverse regulatory frameworks, including the FCA, the SEC, AMF, SFC, MAS and more, Kroll offers practical support, from initial authorization to ongoing compliance support.

Global

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 and Management Company Services

Kroll operates several regulated platforms designed for clients wishing to conduct investment advice, arrange deals or operate private funds, UCITS funds and alternative investment funds via our UK regulatory hosting solution or our Luxembourg-based management company.