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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.
Regulatory Advice and Consulting Services
s166 Skilled Person Review
s166 Skilled Person ReviewGovernance Services
Governance ServicesFinancial Crime Prevention
Financial Crime PreventionPrudential and Risk Management Consulting Services
Prudential and Risk Management Consulting ServicesRetail Financial Services
Retail Financial ServicesClient Assets (CASS)
Client Assets (CASS)Operational Due Diligence
Operational Due DiligenceTraining and Development
Training and DevelopmentContact 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
Other Areas We Can Help
Investment Firm Prudential Regime Support
Kroll’s Prudential consultants can assist UK firms to understand the new IFPR rules & obligations.
Hosted Regulatory Solution
Our Hosted Regulatory Solutions enables clients to provide regulated services in the UK under a specialized FCA regulatory umbrella.
Third Party Management Company
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.