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.
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.
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
- Prudential and ICAAP Advisory Services
- Regulatory Reporting
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
Investment Firm Prudential Regime SupportInvestment Firm Prudential Regime Support
U.S. Compliance ServicesU.S. Compliance Services
UK Compliance ServicesUK Compliance Services
Asia Compliance ServicesAsia Compliance Services
European Compliance ServicesEuropean Compliance Services
Regulatory Advice and Consulting ServicesRegulatory Advice and Consulting Services
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.
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
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
Regulatory Focus – August 2021
FCA Dear CEO Letter: Action Needed by Banks in Response to Identified AML Control Failings
Can a Toxic Culture Curtail Business Strategy?
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 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
Kroll—Including Duff & Phelps Business—Announces 31 Managing Director Promotions
Duff & Phelps Announces Plans to Unify Company Under Kroll Brand