Financial Services Compliance and Regulation

European Compliance Services

Kroll provides a range of services to international funds, their investment managers, promoters and service providers, as well as a range of domestic financial institutions.

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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.


Kroll’s team of regulatory and compliance experts support clients across Europe from offices in Dublin, Jersey, London, Luxembourg and Paris. Our team of regulatory professionals is drawn from roles as accountants, lawyers, former regulators and in-house compliance officers, from a range of buy- and sell-side firms.

We provide tailored services for firms based upon their specific business models and requirements, whether based in one jurisdiction or across multiple locations. We are a trusted advisor to a wide variety of firms including asset managers, both alternative and traditional, banks and fiduciaries. Our team has deep expertise in assisting firms with setting up and licensing as well as providing specific project support and regular advisory support, either through secondment or as a retained advisor. We can advise firms on topics from distribution to internal audit programs and control frameworks. 

We have a proud and proven track record of working with firms, regulators and investors to achieve their sometimes differing aims in a professional and pragmatic way, bringing our deep specialist knowledge to bear on every engagement that we undertake. 


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.


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

Related Team

Connect with us

Monique Melis
Monique Melis
Managing Director and Global Head of Financial Services Compliance and Regulation
London
Phone
Matteo Basso | Financial Services Compliance Consulting | London
Matteo Basso
Managing Director
Compliance Consulting
London
Phone
Nicolas Inman
Nicolas Inman
Managing Director
Financial Services Compliance and Regulation
London
Phone
Ian Manson
Ian Manson
Managing Director
Financial Services Compliance and Regulation
London
Phone
Malin Nilsson is a managing director at Duff & Phelps.
Malin Nilsson
Managing Director
Financial Services Compliance and Regulation
Jersey
Phone
Grainne OFarrelly
Grainne O' Farrelly
Managing Director
Financial Services Compliance and Regulation
Dublin
Phone
Sebastien Petsas
Sebastien Petsas
Managing Director
Financial Services Compliance and Regulation
London
Phone
Hannah Rossiter is a director at Duff & Phelps.
Hannah Rossiter
Managing Director
Financial Services Compliance and Regulation
Paris
Phone
Ed Shorrock is a director at Duff & Phelps.
Ed Shorrock
Managing Director
Financial Services Compliance and Regulation
Jersey
Phone
Mark Turner
Mark Turner
Managing Director
Financial Services Compliance and Regulation
London
Phone
Dimitri Parraud
Dimitri Parraud
Director
Financial Services Compliance and Regulation
Paris
Phone

Explore areas we can helpStay Ahead with Kroll

Irish Regulation

Kroll is uniquely placed to assist firms in negotiating the regulatory landscape.

French Regulation

A range of support from a review of your suitability arrangements, training, controls and procedures to conducting bespoke reviews on past business activities.

Channel Islands Regulation

Kroll provides a range of regulatory and compliance consulting services for firms registered in the Channel Islands.

UCITS

Managers of traditional and alternative investment strategies continue to look to UCITS funds as a globally recognized, internationally distributed fund product.

Trade and Transaction Reporting Services

Regulatory Updates


Regulatory Update—First Quarter 2023

May 09, 2023

Regulatory Updates


AMF, AFG and ESMA Updates—January 2023

May 09, 2023

by Hannah Rossiter

Regulatory Updates


AMF, AFG and ESMA Updates—February 2023

May 09, 2023

by Hannah Rossiter

Regulatory Updates


AMF, AFG and ESMA Updates—March 2023

May 09, 2023

by Hannah Rossiter

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