Financial Services Compliance and Regulation

Regulatory Advice and Consulting Services

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

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The financial services industry is subject to increasing regulatory scrutiny, with the financial and reputational costs of breaches growing. Financial institutions are also examining their business models and undertaking strategic trend analyses to prepare for future challenges and opportunities – of which regulation plays a key part.

As an award-winning provider of compliance and regulatory consulting services to the financial services industry, Kroll helps clients to develop, implement and manage their compliance and regulatory consulting programs.

Our multidisciplinary team - drawn from leading financial institutions, regulators, government authorities and advisory firms - operates across borders to provide seamless service, cross-jurisdictional advice and varied expertise to clients. Based in key financial centers, we are closely connected with regulators and industry associations so that our clients have the best available information on regulatory requirements and trends.

Whatever challenge you are facing, our team can assist. 

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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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M&A Regulatory Due Diligence

M&A Regulatory Due Diligence

Analysis of regulatory risk for M&A transactions

s166 Skilled Person Review

s166 Skilled Person Review

As an appointed firm on the Financial Conduct Authority (FCA) and Prudential Regulation Authority’s (PRA) Skilled Person Panel, Kroll has a strong track record in conducting skilled person reviews across a range of financial services industries and thematic areas.

Governance Services

Governance Services

Kroll provides comprehensive guidance and services on a range of governance issues to the financial services industry.

Financial Crime Prevention

Financial Crime Prevention

Financial crime risk has again risen to the top of the regulatory agenda, and remains one of the most immediate risks for many firms, with criminals constantly seeking new ways to circumvent protective controls.

Prudential and Risk Management Consulting Services

Prudential and Risk Management Consulting Services

The ability of senior management to demonstrate the firm’s resilience through sound risk management practices remains a key priority for the regulator.

Client Assets (CASS)

Client Assets (CASS)

Kroll provides a range of support from a review of your CASS arrangements and training to bespoke advice on technical matters.

Operational Due Diligence

Operational Due Diligence

Training and Development

Training and Development

Training services for hedge fund managers, retail wealth managers, private equity firms, brokers and corporate finance advisors.

Financial Services Internal Audit

Financial Services Internal Audit

Kroll’s Financial Services Internal Audit practice has specialist teams with subject matter experts who help our clients properly manage their major risks. We provide value-adding ideas and solutions to help achieve your business objectives.

Learn How Clients Stay Ahead with Kroll

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Learn How Clients Stay Ahead with Kroll

Kroll Helped Recover Billions for Victims of the Bernie Madoff Ponzi Scheme

Discover how Kroll was uniquely positioned to provide multi-faceted analyses and solutions to help with lawsuits regarding Bernie Madoff’s firm and the largest Ponzi scheme in U.S. history.

Kroll Helped Recover Billions for Victims of the Bernie Madoff Ponzi Scheme.
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Investigating and Protecting against C-Suite Level Fraud

Discover how Kroll’s Forensic Investigations, Cyber Risk, and Security Risk Management teams came together to help a client identify, investigate, and protect against C-suite level fraud and credit card abuse.

Investigating and Protecting against C-Suite Level Fraud
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