Global Regulatory Licensing Services

Kroll's expert team provides regulatory registration and licensing services taking the burden of regulatory requirements off business operators. We partner with you to answer regulator queries and assist you in developing a tailored operational framework that meets regulator and investor expectations.
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New Market Entrants Face Significant Challenges When Applying for Licenses

The licensing process for financial services firms has become increasingly difficult to navigate across all key financial services jurisdictions. The remit of financial services regulators is wider than ever before, and the landscape is increasingly complex with diverging local requirements.

In certain jurisdictions, new market entrants face significant challenges when applying for licenses. Startups should establish a strong compliance system from the start to navigate the licensing process smoothly and handle increased regulatory scrutiny during early growth. To succeed, new entrants must understand regulatory expectations and the local licensing process. Our experts specialize in helping you meet regulators' requirements by providing a customized policy and procedure framework as part of our services.

Kroll Can Secure Your License and Help You Create a Compliance Culture

Kroll will assist with securing your license and advise on the systems, technologies and processes that must be put in place to foster a compliance culture. This ensures clients are meeting the code of ethics, regulatory reporting and records obligations. This allows you to focus on marketing, fundraising or other activities required during start-up.

Kroll has unrivalled expertise supporting firms to complete a range of regulatory transactions across multiple jurisdictions. This may include applying with local regulators to initiate business operations, expanding an existing business, varying the current scope of activities or making changes to firm ownership or senior personnel.

Navigating Multiple Regulators

In addition to domestic regulatory obligations, we have significant expertise in assisting firms with their non-domestic regulatory footprints. Specifically, Kroll has specialist advisors globally assisting with registration requirements and Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA) registrations and filings.

We specialize in working with firms to allow them to meet the requirements and expectations of multiple regulators in the most efficient manner possible, ensuring firms operate under one compliance and code of ethics framework across multiple jurisdictions.

Our comprehensive global licensing services offer full project management ensuring that you can focus resources where they are needed most during a critical phase for your business. As part of the authorization service, we offer:

  • Assessing whether a license is needed and, if so, what form that license or licenses should take
  • Assistance in completing relevant application, registration and notification forms
  • Provision of compliance documents required to support your licensing filing or application
  • Development of a comprehensive compliance framework tailored to your firm’s business and activities
  • Assisting with the preparation of financial projections and advising on any regulatory capital requirements applicable to your firm
  • Assisting with communications and interaction with local regulators throughout the application process

We tailor our support to your needs, working with your existing compliance team and other third-party providers to ensure a seamless delivery of service. We have a proven track record of achieving positive and timely licensing outcomes for our clients.

Our team of compliance and regulatory experts has firsthand practical knowledge and experience in assisting firms to remain compliant with global regulatory standards, including meeting the requirements of:

  • The FCA and the Prudential Regulation Authority (PRA)
  • The SEC and the Commodity Futures Trading Commission (CFTC)
  • The AMF and the Autorité de Contrôle Prudentiel et de Résolution (ACPR)
  • The SFC
  • The MAS
  • The Central Bank of Ireland (CBI)

Financial Services Compliance and Regulation

End-to-end governance, advisory and monitorship solutions to detect, mitigate, drive efficiencies and remediate operational, legal, compliance and regulatory risk.

Frequently Asked Questions

We assist firms with:

  • Authorization with the FCA and making an FCA Application
  • Authorization with the SCA
  • Filing as an exempt reporting advisory or private fund advisor with the SEC
  • Applying for an SFC license and managing the SFC licensing process
  • Registering with the MAS as an RFMC, LFMC or VCFM and obtaining the MAS license
  • Registration as a broker-dealer with Financial Industry Regulatory Authority (FINRA)
  • Registration with the SEC as a registered investment advisor (RIA)
  • Registration with the CFTC and NFA as a CTA or CPO