/en/services/financial-services-compliance-and-regulation/regulatory-advice-consulting-services /-/media/feature/services/financial-services-compliance-and-regulation/regulatory-advice-consulting-services-desktop-banner.jpg service

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. 

Related Team

Connect with us

Monique Melis
Monique Melis
Managing Director and Global Head of Financial Services Compliance and Regulation
London
Phone
Nicolas Inman
Nicolas Inman
Managing Director
Financial Services Compliance and Regulation
Hong Kong
Phone
Aaron Weiss
Aaron Weiss
Managing Director and Head of Asia Pacific
Financial Services Compliance and Regulation
Hong Kong
Phone

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.


Read more
Consumer Duty Regulatory Insights

See all servicesStay Ahead with Kroll

Valuation

Valuation of businesses, assets and alternative investments for financial reporting, tax and other purposes.

Compliance and Regulation

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

Corporate Finance and Restructuring

Middle Market M&A, Strategic Advisory, Debt Advisory and Private Capital Markets, Restructuring and Insolvency Services, Financial Due Diligence, Fairness Opinions, Solvency Opinions and ESOP/ERISA Advisory.

Cyber Risk

Incident response, digital forensics, breach notification, managed detection services, penetration testing, cyber assessments and advisory.

Environmental, Social and Governance

Advisory and technology solutions, including policies and procedures, screening and due diligence, disclosures and reporting and investigations, value creation, and monitoring.

Investigations and Disputes

World-wide expert services and tech-enabled advisory through all stages of diligence, forensic investigation, litigation, disputes and testimony.

Business Services

Expert provider of complex administrative solutions for capital events globally. Our services include claims and noticing administration, debt restructuring and liability management services, agency and trustee services and more.

Financial Compliance Regulation


Preparing for the Consumer Duty – Monitoring and Driving Customer Outcomes Using Data

Mar 24, 2023

by Mark TurnerDan YeloffMatt Austen

Compliance


Regulatory Update—Fourth Quarter 2022

Jan 24, 2023