Financial Services Compliance and Regulation
Kroll’s global team of recognized experts provides financial services clients with end-to-end compliance and regulatory services, working alongside you to minimize risks, drive efficiencies, and ensure compliance. We also operate regulatory platforms for private funds and UCITS clients through our UK-based hosted solution and Luxembourg- and Ireland-based management companies.Contact Us
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Local and global compliance expertise for the financial services industry.
Financial services professionals engage our team for assistance at every stage of the business lifecycle for both domestic and cross-border jurisdictional assignments.
Kroll’s Financial Services Compliance and Regulation practice combines a financial services focus, real world experience, independence and a united global team to help clients:
- Minimize risks related to compliance and regulation, from routine tasks to complex challenges
- Drive efficiency by developing, implementing and managing tailored, risk-based programs
- Mitigate fines and damages by identifying issues early and recommending proactive action
- Stay compliant by intelligently navigating risks in a rapidly changing regulatory landscape
- Start strong with regulatory authorization, registration and licensing and initial compliance setup
- Meet objectives by delivering services responsibly, on time, within budget, and to quality standards
How We Help Clients
Financial services clients engage us to assist at every stage of the business lifecycle to meet regulatory requirements, mitigate risks and navigate the rapidly changing regulatory landscape.
- Authorization, licensing and registration
- Design of governance, risk and compliance models
- Compliance infrastructure including compliance manual, personnel, policies, procedures, systems and controls
- FCA regulatory hosted solution
- AIFM/UCITS management company
Business as Usual
- Annual and independent regulatory and compliance-related reviews, independent assurance, health checks, and mock regulator examinations/audits
- Long-term advisory relationships
- Ongoing compliance monitoring and technical advice, as needed or on retainer
- Regulatory reporting
- Short- and long-term secondments, including compliance, risk and MLRO
- Operational due diligence
- Technology and data insight solutions
Periods of Change
- Regulatory change assignments
- Remediation design and implementation support
- M&A regulatory due diligence
- Strategic advice on governance, risk and compliance operating models and frameworks
Times of Distress
- Major remediation projects, including detailed file reviews
- Regulator visit/inspection preparation and support
- Regulator-appointed reviews such as Skilled Person reviews
- Enforcement advice, support and remediation, before, during and after enforcement
- Expert witness services
Our Unique Framework
Our team has technical expertise in specialties including governance and individual accountability, conduct and culture, risk and compliance, financial crime (including AML and sanctions), capital markets (including market abuse and transaction reporting), ESG, client monies/assets, and operational and enterprise risk.
With a deep pool of talent, our industry experts bring unrivalled experience and insight to our clients with advice that is tailored and relevant to their specific requirements and business.
Recent Industry Recognition
Private Equity Wire European Awards 2023
Private Equity Wire US Awards 2022
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U.S. Compliance Services
Comprehensive support for asset managers registering in the U.S.
UK Compliance Services
Comprehensive compliance and regulatory support for FCA authorized firms.
Asia Compliance Services
Expert compliance advice to Asia financial institutions.
European Compliance Services
Comprehensive compliance and regulatory support for EU firms.
Regulatory Advice and Consulting Services
Assistance to develop, implement, and manage global compliance and regulatory consulting programs.
Kroll operates regulated platforms for private funds and UCITS clients through our UK hosted regulatory solution and Luxembourg- and Ireland-based management companies.
Consumer Duty Regulatory Insights
Kroll’s Regulatory Advice and Consulting specialists provide insight on the regulatory change now approaching the financial services industry and discuss the FCAs intention to place clear accountability for compliant implementation of the Consumer Duty.
Regulatory Update—First Quarter 2023
May 09, 2023
Impact of SEC Form PF Amendments on Fund Advisers
May 10, 2023
by Ken C. Joseph, Esq., Anna Povinelli, Alyssa Heim
The Mid-Year Regulatory Update: Crisis, Volatility and More Regulation
Apr 12, 2023
by Ken C. Joseph, Esq., David Larsen, Julianne Recine, Elizabeth M. Kay, Alan Brill, Hollie Mason
Preparing for the Consumer Duty – Monitoring and Driving Customer Outcomes Using Data
Mar 24, 2023
by Mark Turner, Dan Yeloff, Matt Austen
Back from the Brink – Silicon Valley Bank UK’s Implications for Alternative Asset Managers
Mar 17, 2023
by Matteo Basso, Warren Low