Compliance
Global Enforcement of Anti-Money Laundering Regulation: Shift in Focus
March 17, 2022
by Monique Melis, Hannah Rossiter, Malin Nilsson, Aaron Weiss
Fri, Jul 23, 2021
Regulatory Focus - June 2021
In this edition of Regulatory Focus, Kroll’s compliance experts round up news and publications from the FCA during April and May 2021.
Regulatory Focus - June 2021
July 23, 2021
Changes to UK MiFID’s Conduct and Organizational Requirements
April 28, 2021
Compliance, Culture and Evolving Regulatory Expectations
March 31, 2021
Fake Emails Purporting to Come from the FCA
July 23, 2021
FCA and Bank of England Statement on LIBOR Transition
May 13, 2021
FCA Changes Process for Firms Wishing to Change Their Legal Status
July 23, 2021
FCA Fines Firm for Serious Financial Crime-Control Failings in Relation to Cum/Ex Trading
May 6, 2021
FCA Launches Consultation on Long-term Asset Fund (LTAF), Designed to Invest in Efficient Long-term Illiquid Assets, and Works on Liquidity Mismatch in Open-ended Property Funds
May 7, 2021
The FCA and Practitioner Panel Joint Survey for 2021 Launches
April 30, 2021
FCA Publishes a Consultation Paper on the Use of Its New Powers Under the Benchmarks Regulation to Facilitate LIBOR's Wind Down
May 20, 2021
Financial Services Regulatory Initiatives Grid
May 7, 2021
Firms Should Ensure That Permissions Are Reviewed Regularly
July 23, 2021
Levelling the Playing Field: Innovation in the Service of Consumers and the Market
April 20, 2021
Man Charged for Carrying Out Regulated Activities Without Authorization
May 20, 2021
Regulation for a Different World
May 6, 2021
All Reporting Firms Moved to FCA's New Data Collection Platform Regdata
May 19, 2021
The Rise in Scams and the Threat to a Legitimate Financial Services Industry
May 18, 2021
Second Consultation on New Prudential Regime for UK Investment Firms
April 19, 2021
When Do Senior Managers Have to Be Certified and Reported as Directory Persons?
July 23, 2021
The Voice
When do Senior Managers have to be Certified and Reported as Directory Persons?
FCA Changes Process for Firms Wishing to Change their Legal Status
Fake Emails Purporting to Come from the FCA
FCA Updates – April 2021
Second Consultation on New Prudential Regime for UK Investment Firms
Levelling the Playing Field: Innovation in the Service of Consumers and the Market
Compliance, Culture and Evolving Regulatory Expectations
Changes to UK MiFID’s Conduct and Organizational Requirements
The FCA and Practitioner Panel Joint Survey for 2021 Launches
FCA Updates – May 2021
Regulation for a Different World
FCA Fines Firm for Serious Financial Crime-Control Failings in Relation to Cum/Ex Trading
Financial Services Regulatory Initiatives Grid
FCA Launches Consultation on Long-term Asset Fund (LTAF), Designed to Invest in Efficient Long-Term Illiquid Assets, and Works on Liquidity Mismatch in Open-Ended Property Funds
FCA and Bank of England Statement on LIBOR Transition
The Rise in Scams and the Threat to a Legitimate Financial Services Industry
All Reporting Firms Moved to FCA’s New Data Collection Platform RegData
FCA Publishes A Consultation Paper on the Use of its New Powers Under the Benchmarks Regulation to Facilitate LIBOR’s Wind Down
Man Charged for Carrying Out Regulated Activities Without Authorization
Firms Should Ensure that Permissions are Reviewed Regularly
Financial Services Compliance and Regulation
End-to-end governance, advisory and monitorship solutions to detect, mitigate, drive efficiencies and remediate operational, legal, compliance and regulatory risk.
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.
Insights
Global Enforcement of Anti-Money Laundering Regulation: Shift in Focus
Regulatory Updates
Regulating Cryptoassets in the United Kingdom
April 16, 2025
by Haydn Jones, Darragh Finn, Andrew Kasapis
Regulatory Updates
Future Regulation of UK Alternative Investment Fund Managers
April 9, 2025
by Matteo Basso, Darragh Finn
Regulatory Updates
Kroll’s Insights and Implications from the FCA's Review of Private Fund Market Valuation Practices
April 2, 2025
by Ryan McNelley, Warren Low, Matteo Basso
Kroll is headquartered in New York with offices around the world.
One World Trade Center
285 Fulton Street, 31st Floor
New York NY 10007
Sign up to receive periodic news, reports, and invitations from Kroll.
Our privacy policy describes how your data will be processed.
© 2025 Kroll, LLC. All rights reserved.
Kroll is not affiliated with Kroll Bond Rating Agency,
Kroll OnTrack Inc. or their affiliated businesses. Read more.