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Financial Services Compliance and Regulation

Compliance and Regulatory Consulting

Financial Services Compliance and Regulation

Kroll's Financial Services Compliance and Regulation experts help a wide range of financial services firms identify, remediate and manage regulatory risk in their businesses. We operate globally, meeting our clients’ diverse needs, wherever and whenever they arise.

Financial services professionals engage our team for assistance at every stage of the business lifecycle to meet regulatory requirements. Our team’s extensive experience includes launching registered entities and providing ongoing compliance support.

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Local and global compliance expertise for the financial services industry.

We deliver on time, within budget and to the highest quality standards, always striving to exceed expectations. We operate with a non-silo approach as one united team to offer a global solution to our clients, who value the clear communication and exemplary service they receive from the start.

Our approach is backed by our powerful team of compliance and regulatory consultants, who are experts in the financial services industry and well connected locally and globally. Our experts previously served in numerous capacities including former regulators, chief compliance officers and legal counsel. This diversity of experience proves critical when navigating our clients through complex regulatory matters.

Our global team operates seamlessly across jurisdictions to provide clients with cross-jurisdictional advice and integrated expertise. The powerful combination of our unique focus on financial services, team of industry recognized experts and “one team” approach allows clients to receive seamless service, relevant guidance and extensive insight to overcome the challenges they face.

Our Unique Framework

Providing a deep pool of talent, our industry experts bring unrivalled experience and insight to our clients so that our advice is tailored and relevant to specific requirements.

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Financial Services Compliance and Regulation
Compliance Consulting

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. Our team’s broad experience includes setting up firms and assisting with initial authorization or registration, as well as providing ongoing compliance support, cyber security advice and regulated funds services.

  • Ongoing Compliance Support 
  • Registration and Authorization Services 
  • Annual and Ongoing Reviews of Compliance Programs, Systems and Controls 
  • Mock Regulatory Exams and Audits, Pre-enforcement and Supervisory Reviews Regulated Fund Services
  • Secondments 
  • Prudential and ICAAP Advisory Services 
  • Regulatory Reporting

 

Regulatory Consulting

Kroll provides specialist regulatory consulting services globally to clients across the financial services industry including banks, investment managers, brokers, trading venues, fund services, consumer credit firms and financial regulators. 

  • Financial Crime, Anti-money Laundering, Sanctions
  • Regulatory Due Diligence
  • Governance, Risk and Compliance Reviews
  • Capital Markets Regulation
  • Client Assets (CASS)
  • Prudential Regulation
  • Conduct of Business
  • Regulatory Commissioned Reviews, Including FCA/PRA S.166 Skilled Person Reports
  • Expert Witness Reports
  • Training 

Financial Services Compliance and Regulation Services

Global Regulatory  Outlook 2021

Global Regulatory Outlook 2021

Duff & Phelps analyzes data from senior decision-makers in financial services to provide insights into the current and future global regulatory landscape.

Read our Findings

Insights

Compliance

The Importance of Jurisdictional Risk When Doing Business with Money Services Businesses

Compliance
Global Risk

Global Fraud and Risk Report 2021

Global Risk
Compliance

Global Enforcement Review 2021: Anti-Money Laundering Regulation

Compliance
Compliance

Markets Services Case Studies

Kroll assists financial services firms, trading venues and technology providers to comply with regulatory obligations and meet industry best practice in relation to all aspects of markets, pre-trade and post-trade regulatory reporting and surveillance.
Compliance
Compliance

MiFID II Transaction Reporting Services Case Studies

Kroll is a leading advisor in providing practical and proportionate MiFID II/MiFIR transaction reporting solutions for the financial services industry.
Compliance
Compliance

Skilled Person Reviews (S166) Case Studies

Kroll is recognized as a regulatory compliance expert by the UK’s financial services regulators, the FCA and PRA, where we are an appointed firm on their Skilled Person (S166) Panel.
Compliance
Compliance

Regulatory Focus – August 2021

Compliance
Compliance

FCA Dear CEO Letter: Action Needed by Banks in Response to Identified AML Control Failings

Compliance

Due Diligence Insights

News