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Training and Development

Training services for hedge fund managers, retail wealth managers, private equity firms, brokers and corporate finance advisors.

The FCA requires all firms to recruit staff who have the necessary skills, knowledge and expertise to undertake the role that is allocated to them. In addition, the FCA expects firms to make sure that all employees are aware of the internal procedures of the firm. As part of their systems and controls, firms therefore need to train staff on a regular basis to keep their knowledge up to date. This is in addition to the more detailed Training and Competence rules where firms conduct business with retail customers.

In addition to this, staff need to be trained in Anti-Money Laundering and Market Abuse and part of the legal or regulatory requirements.

Kroll has an experienced team, working together with firms and compliance officers, to develop bespoke training seminars and packages that are relevant for your business models, and which addresses the risks to which you are exposed. We pitch the training at the appropriate level, depending on whether there is a mixed audience or distinct levels of experience or seniority.

In addition, tests can be developed for staff, to enable firms to demonstrate the effectiveness of their training. Kroll also provides training to prospective compliance personnel to assist in the application to the FCA in respect of their approved status.

We are able to cover a wide range of regulatory topics, including:

  • Financial crime, incorporating market abuse, anti-money laundering, Bribery Act and fraud
  • Senior management arrangements, systems and controls, including conflicts, data security, business continuity, apportionment of responsibilities and outsourcing
  • Conduct of business, covering PA dealing, inducements, client categorization, dealing and managing rules, financial promotions
  • Reporting under GABRIEL and COREP
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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 Review 2021: Anti-Money Laundering Regulation

Compliance
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.
Compliance
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.
Compliance
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