Compliance and Regulation

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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Discover how our compliance and diligence services and technology-driven analysis provided our client with vital background information on an individual they were nearly ready to hire for a high-level position. Request our qualifications.


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.

Discover how our compliance and diligence services and technology-driven analysis provided our client with vital background information on an individual they were nearly ready to hire for a high-level position. Request our qualifications.


Recent Industry Recognition

Kroll Wins Best Regulatory and Compliance Firm of the Year

Private Equity Wire US Awards 2022

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 C. 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

Simplify Compliance Management Further With Software From Resolver, A Kroll Business

Compliance teams are busy. Simplify compliance and save time by using software to automatically monitor all regulatory compliance activities and changes and easily generate reports for insights and audit documentation.

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Environmental, Social and Governance

Advisory and technology solutions, including policies and procedures, screening and due diligence, disclosures and reporting and investigations, value creation, and monitoring.

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Upcoming Events

April 11, 2023 | (Webinar)

Webcast | Active Assailant Preparedness with Security and Risk Management Experts

Active Assailant Preparedness Webcast with Security and Risk Management Experts

Webcast on proactively identifying, preparing for and responding to active assailant threats in the workplace, hosted by Kroll Security Risk Management Managing Directors and Crisp, a Kroll business.

March 21, 2023 | (Webinar)

Economic Update Webcast with Kroll’s Global Chief Economist, Megan Greene

Economic Update Webcast with Kroll’s Global Chief Economist, Megan Greene

Kroll's experts will share insights on the outlook for UK's economic market and how different sectors like cryptocurrency, real estate, healthcare and food manufacturing sectors are likely to be impacted in 2023. Register now.

April 12, 2023 | (Webinar)

2023 APAC Economic Outlook and Impact on Company Valuations and Restructuring

2023 APAC Economic Outlook and Impact on Company Valuations and Restructuring

We are pleased to invite you to Kroll’s APAC focused webinar on the 2023 economic outlook and its impact on company valuations and restructurings in the region.

April 24 - 27, 2023 | (Conference)

RSA Conference

Kroll at RSA Conference 2023

Join Kroll experts at the RSA Conference in San Francisco April 24-27, 2023. Stop by booth 467 in the South Expo Hall to meet our team. Book a Threat Intelligence Briefing with a Kroll Expert.

Outlook


One Year After Russia's War on Ukraine: What Have We Learned?

Feb 24, 2023

Financial Compliance Regulation


Major Decision by the Court of Justice of the European Union on Public Access to Information on Beneficial Ownership

Dec 12, 2022

by Maria Evstropova

Financial Compliance Regulation


Net Performance: Compliance with the SEC’s New Marketing Rule

Nov 01, 2022

by Ken C. Joseph, Esq.Betty ValouktzisAnna Povinelli

Compliance Risk


Top Three Takeaways: Febraban Tech 2022

Sep 05, 2022

by Emanuel BatistaMichael Watt Maria Rodrigues, Ana Robillard

Compliance


Compliance Impacts of the SEC's New Marketing Rule

Aug 17, 2022

by Anna PovinelliKen C. Joseph, Esq.Betty Valouktzis

Compliance


ESMA, AMF and CSSF Regulatory Update—Second Quarter 2022

Aug 10, 2022

Outlook


10 of the Biggest Geopolitical Risks by Likelihood and Impact

Sep 09, 2022

by Megan  GreeneJordan L. Strauss

Compliance Risk


2022 Anti-Bribery and Corruption Report

Jun 06, 2022

Global Risk


Global Fraud and Risk Report: Vol. 2

May 09, 2022

Resource Center


Navigating Uncertainty During the War on Ukraine

Mar 17, 2022

News


Kroll Named Best Regulatory and Compliance Firm at Private Equity Wire US Awards 2022

Nov 07, 2022

News


Kroll Joins Crown Commercial Service’s Audit and Assurance Framework

Oct 25, 2022

News


Kroll Acquires Crisp, Trusted Provider of Real-time Risk Intelligence

May 31, 2022

News


Kroll Acquires Resolver, a Leader in Risk Intelligence Technology

Mar 30, 2022