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.
Financial services professionals engage our team for assistance at every stage of the business lifecycle for both domestic and cross-border jurisdictional assignments.
Local and global compliance expertise for the financial services industry.
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 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.
Our Unique Framework
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.
Technology-enabled legal and business solutions for corporate restructurings, settlement administrations, issuer services, agent and trustee services, and other complex support needs.
Compliance and Regulation
End-to-end governance, advisory and monitorship solutions to detect, mitigate and remediate operational security, legal, compliance and regulatory risk.
Corporate Finance and Restructuring
Comprehensive corporate finance, investment banking and restructuring support to clients, investors and stakeholders.
Incident response, digital forensics, breach notification, managed detection services, penetration testing, cyber assessments and advisory.
Investigations and Disputes
World-wide expert services and tech-enabled advisory through all stages of diligence, forensic investigation, litigation and testimony.
Financial and operational restructuring and enforcement of security, including investigation, preservation and realization of assets for investors, lenders and companies.
Valuation of businesses, assets and alternative investments for financial reporting, tax and other purposes.
Global Regulatory Outlook 2021
Kroll analyzes data from senior decision-makers in financial services to provide insights into the current and future global regulatory landscape.
Regulatory Focus – December 2021
Regulatory Due Diligence Case Studies
Anti-Money Laundering Remediation Case Studies
Shaping Regulations to Promote Business Resiliency in the Digital Economy
The Importance of Jurisdictional Risk When Doing Business with Money Services Businesses
Global Fraud and Risk Report 2021/22
Global Enforcement Review 2021: Anti-Money Laundering Regulation
Markets Services Case Studies
MiFID II Transaction Reporting Services Case Studies
Skilled Person Reviews (S166) Case Studies
Learn the Best Practices in Fund Operations
The SEC Under the Biden Administration
ESG and ODD
Governance and Diversity
Crypto Currency Due Diligence
Real Estate Valuation New Issues
Overview of Valuation Regulatory Changes
PE Valuation Updates
Effective Management of Cybersecurity Risks
Preparing for the LIBOR Transition
Kroll Appoints David Lewis, Former Executive Secretary of the FATF, as a Managing Director to Lead its AML Advisory Practice
Norman Harrison Discusses Best Practices In Preparation For FCPA Enforcement Surge
Kroll Launches New KYC Tool, Kroll Business Connect, to Enhance the Efficiency of Onboarding and KYC Checks
World’s Biggest Corporates Hit Hardest by Illicit Activity Despite Bolstering Defenses, Reveals Kroll