Financial Services Compliance and Regulation
Regulatory Advice and Consulting Services
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.
Contact Us
Monique Melis
Managing Director and Global Head
Financial Services Compliance and Regulation
London
Monique Melis
Nicolas Inman
Managing Director
Financial Services Compliance and Regulation
Hong Kong
Nicolas Inman
Aaron Weiss
Managing Director
Financial Services Compliance and Regulation
Hong Kong
Aaron Weiss
Stay Ahead with Kroll
Business Services
Technology-enabled legal and business solutions for corporate restructurings, settlement administrations, issuer services, agent and trustee services, and other complex support needs.
Compliance and Regulation
End-to-end governance, advisory and monitorship solutions to detect, mitigate and remediate operational security, legal, compliance and regulatory risk.
Corporate Finance and Restructuring
Comprehensive corporate finance, investment banking and restructuring support to clients, investors and stakeholders.
Cyber Risk
Incident response, digital forensics, breach notification, managed detection services, penetration testing, cyber assessments and advisory.
Investigations and Disputes
World-wide expert services and tech-enabled advisory through all stages of diligence, forensic investigation, litigation and testimony.
Restructuring
Financial and operational restructuring and enforcement of security, including investigation, preservation and realization of assets for investors, lenders and companies.
Valuation
Valuation of businesses, assets and alternative investments for financial reporting, tax and other purposes.