Retained Compliance Support and Managed Services

Kroll provides comprehensive retained and ad hoc regulatory compliance consulting services, ensuring firms maintain a competitive edge amid evolving regulatory landscapes across the UK, Europe, North America, Hong Kong and Singapore.
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With expertise in diverse regulatory frameworks, including the FCA, the SEC, France’s Autorité des Marchés Financiers (AMF), Hong Kong’s Securities and Futures Commission (SFC), the Monetary Authority of Singapore (MAS) and more, we offer practical support, from initial authorization to ongoing compliance support.

The global financial services industry is subject to increasing scrutiny and oversight, with the cost of making mistakes becoming higher both financially and with respect to reputation. Global regulatory developments and initiatives are impacting firms on a local and international level, requiring firms to be cognizant of all legislation and initiatives that affects them. By keeping on top of these regulations, firms retain their competitive advantage in an ever-changing landscape.

Providing both retained or ad hoc regulatory compliance consulting services, our dedicated team offers practical support during the launch phase and assistance throughout the business lifecycle across markets including the UK, Europe, North America, Hong Kong and Singapore. Our compliance consultants have extensive experience in setting up firms, assisting with obtaining initial regulatory authorization or registration through to providing ongoing compliance services to navigate the rapidly changing regulatory landscape.

Retained Compliance Support and Advisory Services

  • Mock regulatory audits, pre-enforcement and supervisory reviews
  • Support with onsite regulator visits, examinations and enforcement investigations
  • Employee trading reviews
  • Financial and regulatory filings/reporting
  • Advice on preparing for regulatory changes
  • Regulatory update notifications
  • Employee training on regulatory matters
  • Secondments to compliance and regulatory roles

Our team of compliance and regulatory experts has firsthand practical knowledge and experience in assisting firms to remain compliant with global regulatory standards, including meeting the requirements of:

  • The FCA and the Prudential Regulation Authority (PRA)
  • The SEC and the Commodity Futures Trading Commission (CFTC)
  • The AMF and the Autorité de Contrôle Prudentiel et de Résolution (ACPR)
  • The SFC
  • The MAS
  • The Central Bank of Ireland (CBI)

Managed Complaince Software

Managed Compliance Software | Kroll

Kroll’s Managed Compliance Software is cost-effective and efficient technology that embeds Kroll’s global knowledge into financial services firms’ compliance programs, guiding you through all stages of the regulatory life cycle.

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