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Governance Services

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

Ensuring your firm has an effective corporate governance structure in place is vital to support the long-term success of both the firm and its key stakeholders. Governance can best be described as the full suite of oversight arrangements, including day-to-day operational management arrangements, the executive committees, the board sub-committees, ultimately supporting the main board or ultimate decision-making body of the firm. 

For firms that are part of a broader group, governance may operate through matrix arrangements, with elements of centralized group governance arrangements working alongside legal entity-specific arrangements. These arrangements need to be clearly articulated to avoid tension, ambiguity and gaps.

Clarity of individual accountability is an important element of any successful governance framework, with individuals at all levels understanding what is required of them and what they are responsible for. We work with our clients to enhance clarity, remove ambiguity and identify efficiencies in processes, being mindful of regulatory requirements and expectations. 

Our team’s broad capabilities and expertise across a range of technical areas encompass virtually all governance obligations of regulated firms, including:

  • Governance framework, controls and individual accountability 
  • Board effectiveness
  • Conduct and culture
  • Financial crime governance
  • Markets issues—market abuse, surveillance, trade and transaction reporting
  • Senior Managers and Certification Regime (SM&CR) 
  • Enterprise risk management frameworks
  • Operational risk management and operational resilience
  • Client money/assets governance
 

Implementing proper governance structures and processes helps sustain business in a company and is crucial for sustainability. We offer comprehensive services to support firm obligations.  

Our services include: 

  • Regulatory and operational due diligence
  • Advisory services (on-call and retained)
  • Reviews/assurance services
  • SM&CR health checks
  • Board effectiveness reviews
  • Regulator visit/enforcement support
  • Regulatory role secondments and expert witness services
  • Training and development
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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

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Compliance

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

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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.
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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.
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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