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Regulatory Advice and Consulting Services

Compliance and Regulatory Consulting

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.

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Compliance and Regulatory Consulting

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. 

Regulatory Advice and Consulting Services

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Other Areas We Can Help

Advice and Consulting by Jurisdiction

Hosted Regulatory Solution

Our Hosted Regulatory Solutions enables clients to provide regulated services in the UK under a specialized FCA regulatory umbrella.

Hosted Regulatory Solution
Global Advice and Consulting

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.

s166 Skilled Person Review

Insights

Compliance

Global Enforcement of Anti-Money Laundering Regulation: Growth in Fines

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

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

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

Due Diligence Insights