
Explore Financial Services Compliance and Regulation
Kroll is a leader in performing regulatory and compliance reviews that complement the financial, commercial and legal M&A transaction due diligence process.
Regulatory risk is the risk to earnings, capital and reputation associated with a failure to comply with regulatory requirements and expectations. There are prevailing standards of compliance that regulators hold businesses to and if these regulatory expectations are met, it significantly minimizes regulatory risk.
Our reviews are designed to provide a quantitative, non-emotive assessment of the risks that compliance, operational control and regulatory frameworks can pose to the business. This includes:
- The key regulatory risks
- Risks as potential impact on revenue
- Whether controls are in place to mitigate risks
- Opportunities for improving the regulatory and compliance infrastructure and quantifying expected capital outlay
Our regulatory due diligence adds value throughout the transaction process by:
- Identifying key strengths, weaknesses, opportunities and threats
- Providing an analysis against industry best practice and peers
- Providing a view of whether the business has the governance, compliance and risk infrastructure to support growth aspirations
- Identifying areas for further investment and quantifying expected capital outlay
- Assisting during warranties and indemnities negotiation
- Producing an action plan to strengthen the business going forward
- Complementing the commercial, financial and legal due diligence processes
- Providing an analysis of relative regulatory risk per jurisdiction or service line
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Hosted Regulatory Solution
Our Hosted Regulatory Solutions enables clients to provide regulated services in the UK under a specialized FCA regulatory umbrella.
Management Company Services
We operate authorized UCITS and AIFM management companies in Ireland and Luxembourg.
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.
Comprehensive Due Diligence Solution
Our Comprehensive Due Diligence solution helps clients minimize risks and make the most informed business decisions. We support in the areas of tax, compliance and regulatory, ESG, operations/strategy, M&A, financial and accounting, investigations, disputes and cyber/IT risk.