Voice
Regulatory Updates
Extension of SM&CR Implementation Periods for Solo-Regulated Firms
New Prudential Regime for UK Investment Firms
Update on Short Selling Restrictions
Are You Affected by the Securities Financing Transaction Regulation?
Brexit
FCA’s Response to COVID-19 and Brexit
Supervision
ESMA Promotes Convergence in the Supervision of Costs in UCITS and AIFS
Other
Firms' Handling of Complaints During COVID-19
EMIR Margin Requirements Amended in Response to the COVID-19 Outbreak
Update of Position Limits for Certain Commodity Derivative Contracts
Period to Cover Absent Senior Managers Extended Due to COVID-19
ESMA Extends Registrations of Four Trade Repositories to Include SFTR
Statement on How Firms Should Handle Post and Paper Documents
ESMA Supports ESRB Actions to Address COVID-Related Systemic Vulnerabilities
ESMA sees Potential Decoupling of Financial Market Performance and Underlying Economic Activity
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.