Financial Services Compliance and Regulation

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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.

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Explore Financial Services Compliance and Regulation

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Due Diligence Play

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.

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
Due Diligence Play

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.

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. 

Start-up

 
  • 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
  • Training
  • 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.

Financial Services Compliance and Regulation

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

2023 Fraud and Financial Crime Report Play

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:

  • 69% of global respondents expect financial crime risks to increase over the next 12 months.
  • More than two-thirds of respondents plan to invest in technology to tackle the expected increase in financial crime.
  • More than half of respondents evolving technologies, digital currencies, data privacy and geopolitical tension as challenges posed to government in fighting financial crime.
  • 61% of respondents agree that ESG factors should be a consideration for all businesses and part of every financial crime compliance program.
   

Download the Report

2023 Fraud and Financial Crime Report Play
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U.S. Compliance Services

U.S. Compliance Services

Comprehensive support for asset managers registering in the U.S.

UK Compliance Services

UK Compliance Services

Comprehensive compliance and regulatory support for FCA authorized firms.

Asia Compliance Services

Asia Compliance Services

Expert compliance advice to Asia financial institutions.

European Compliance Services

European Compliance Services

Comprehensive compliance and regulatory support for EU firms.

Regulatory Advice and Consulting Services

Regulatory Advice and Consulting Services

Assistance to develop, implement, and manage global compliance and regulatory consulting programs.

Regulated Platforms

Regulated Platforms

Kroll operates regulated platforms for private funds and UCITS clients through our UK hosted regulatory solution and Luxembourg- and Ireland-based management companies.

2023 Fraud and Financial Crime Webinar—Navigating the Complex Landscape of Financial Crime and Technology

2023 Fraud and Financial Crime Webinar—Navigating the Complex Landscape of Financial Crime and Technology

Join the webinar led by Kroll financial crime experts who will discuss key findings from our 2023 Fraud and Financial Crime report and share insights to help organizations stay compliant and minimize risk.

Register Now

 

2023 Fraud and Financial Crime Webinar—Navigating the Complex Landscape of Financial Crime and Technology
Explore Insights

Consumer Duty Regulatory Insights

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.

 

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Consumer Duty Regulatory Insights
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