Compliance
October 1, 2020
Regulatory Focus - September 2020
Supervision
FCA Consults on Extending the Deadlines for the Certification Regime and Conduct Rules
Brexit Regulatory Update
FCA Confirms MoUs with ESMA and EU Securities Regulators
ESMA Tells Market to Continue Preparations for the End of the UK Transition Period
UK Enforcement Actions – July and August
FCA Publishes Decision Notice Against a Former CEO for Market Misconduct
High Court Orders Illegal Pension Introducers to Pay Restitution to Consumers
Other News
Stay Ahead with Kroll
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.
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.
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.