Compliance and Regulation

End-to-end governance, advisory and monitorship solutions to detect, mitigate and remediate security, legal, compliance and regulatory risk.

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Kroll partners with clients to stay ahead of regulatory and reputational risks associated with ethics and compliance obligations around the world. We deploy a market-leading portfolio of enhanced due diligence services and technology solutions, with a focus on anti-bribery and corruption (AB&C) and anti-money laundering (AML), to assist clients with Know Your Customer (KYC) initiatives, third-party due diligence, M&A transactions, IPOs and supply chain due diligence.

Our teams draw on open-source resources and global human intelligence to perform enhanced due diligence, producing reports and action items tailored to each client's needs.

Our solutions help clients:

  • Meet global regulatory and legal requirements. We help ensure compliance with Anti-Money Laundering (AML), Know Your Customer (KYC), USA Patriot Act, Foreign Corrupt Practices Act (FCPA), and UK Bribery Act regulations.
  • Mitigate risks, fines and reputational damage. We help identify and mitigate third-party and transactional, business and reputational risks before they develop into larger issues or trigger fines.
  • Manage third-party risk. We research reputations; environmental, social and governance (ESG); and cyber and financial records related to existing and potential relationships, including joint ventures, customers and partners, against sanctions, government watch lists, social media and other applicable databases.
  • Respond to regulatory reviews and investigations. We help clients prepare for and respond to regulatory reviews and investigations. We also can undertake reviews at the appointment of regulatory authorities.
  • Become or stay compliant. We help clients understand the practical frameworks, policies and procedures, systems and controls, and technologies they need to stay compliant with current and evolving regulations.
  • Increase peace of mind. Our researchers manage cases from start to finish, conducting extensive internet, database and media research into a company and its principals to assess backgrounds, status, credentials, professional certifications, legitimacy and reputation.
Related Team

Connect with us

Steven Bock
Steven Bock
Managing Director and Global Head of Compliance Risk and Diligence
Compliance Risk and Diligence
New York
Phone
Monique Melis
Monique Melis
Managing Director and Global Head of Financial Services Compliance and Regulation
London
Phone
Tom Everett Heath
Tom Everett Heath
Global Head of Forensic Investigations and Intelligence
Forensic Investigations and Intelligence
London
Phone
Timothy V Horner
Timothy V. Horner
Senior Managing Director and Global Head of Security Risk Management
Security Risk Management
New York
Phone
David Liu
David Liu
Regional Managing Director, Asia-Pacific
Environmental, Social and Governance Advisory Services (ESG)
Hong Kong
Phone
Ken Joseph
Ken C. Joseph, Esq.
Managing Director
Financial Services Compliance and Regulation
New York
Phone
Kevin Braine
Kevin Braine
Managing Director and Global Head of Research and Operations
Compliance Risk and Diligence
London
Phone
Nicolas Inman
Nicolas Inman
Managing Director
Financial Services Compliance and Regulation
Hong Kong
Phone

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End-to-end governance, advisory and monitorship solutions to detect, mitigate and remediate security, legal, compliance and regulatory risk.

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