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 Kroll built a dedicated client service team for a large banking institution, provided a customized due diligence solution, and saved 70% on their costs over a three-year period. 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.

Discover how Kroll built a dedicated client service team for a large banking institution, provided a customized due diligence solution, and saved 70% on their costs over a three-year period. Request our qualifications.


Our solutions help clients:

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.

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.

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.

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.

Recent Industry Recognition

PE Wire European Awards 2023 - Best Regulatory & Compliance Firm

Private Equity Wire European Awards 2023

Kroll Wins Best Regulatory and Compliance Firm of the Year

Private Equity Wire US Awards 2022

 

2023 Fraud and Financial Crime Report

Kroll analyzed global data from 400 senior leaders across three continents to gain insights into the current financial crime landscape and learn how technology might stop the threat of economic, crypto and ESG crimes.

Key findings from the report include:

  • Sixty-nine percent of global respondents expect financial crime risks to increase over the next 12 months.
  • Almost two-thirds of global respondents expect financial crimes enforcement actions to increase.
  • More than half of respondents cite evolving technologies, digital currencies, data privacy and geopolitical tension as challenges posed to government in fighting financial crime.
  • Global respondents report that cybersecurity and data breaches are the factors most responsible for increased financial crime risk.
 

Download the Report

Related Team

Connect with Us

David Liu
David Liu
David Liu
Regional Managing Director, Asia-Pacific
Environmental, Social and Governance Advisory Services (ESG)
Hong Kong

Explore areas we can helpStay Ahead with Kroll

Anti-Money Laundering

Anti-Money Laundering

Kroll’s anti-money laundering (AML) solutions are designed to help minimize the risks associated with money laundering and other illicit activities and to ensure compliance through the development and management of ongoing compliance programs and processes.

Financial Services Compliance and Regulation

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.

Compliance Risk and Diligence

Compliance Risk and Diligence

Complying with anti-money laundering and anti-bribery and corruption regulations.

Monitorships

Monitorships

Kroll evaluates, oversees and tests organizations for compliance with any number of laws and regulations on a mandatory or voluntary basis.

Security Risk Management

Security Risk Management

Helping clients anticipate and respond to a myriad of facility and employee security challenges.

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Cryptocurrency Compliance, Risk and Investigation Services

Kroll is the leading global provider of crypto compliance, risk, and investigative services. Since the introduction of the first virtual asset in 2009, Kroll has worked side-by-side with crypto companies, investors, and law enforcement to help them meet their most critical challenges.

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