UK Compliance Services

Kroll's team of regulatory and compliance experts – drawn from the FCA, financial institutions, and major professional services firms – provides a comprehensive and unrivaled range of regulatory and compliance services to the UK asset management, investment banking and brokering industries.

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The UK regulatory landscape is constantly evolving, with new Financial Conduct Authority (FCA) initiatives introduced and working practices regularly updated at a European level. The need for increased monitoring and reviewing of compliance procedures presents firms with a consistently challenging working environment.

Regularly cited as "Best regulatory compliance advisory firm," Kroll is a leading global provider of compliance consulting services to the UK and global financial services industry. Clients consult our team of specialists at every stage of their business lifecycle to meet regulatory obligations and navigate the rapidly changing regulatory landscape. We work closely with regulatory bodies and industry associations throughout the world to provide our clients the best available information on regulatory requirements and trends.

Services include:

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Monique Melis
Monique Melis
Managing Director and Global Head of Financial Services Compliance and Regulation
London
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Nick Bayley
Nick Bayley
Managing Director
Financial Services Compliance and Regulation
London
Phone
Ian Manson
Ian Manson
Managing Director
Financial Services Compliance and Regulation
London
Phone

Global Enforcement of Anti-Money Laundering Regulation: Shift in Focus

While anti-money laundering (AML) continues to dominate global financial crime regulation, enforcement activity is slowing as attention turns from banks to other financial institutions.

Read our Findings

Global Enforcement Review

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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 operational security, legal, compliance and regulatory risk.

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Comprehensive investment banking, corporate finance, restructuring and insolvency services to investors, asset managers, companies and lenders.

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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 and testimony.

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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.

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Compliance

Regulatory Focus – March 2022

May 12, 2022

Compliance

ESMA, AMF and CSSF Regulatory Update—First Quarter 2022

May 05, 2022

Compliance

Global Enforcement of Anti-Money Laundering Regulation: Shift in Focus

Mar 17, 2022

by Monique MelisMaria EvstropovaKen C. Joseph, Esq.Hannah RossiterAlan KeatingMalin NilssonAaron  Weiss

Compliance

Anti-Money Laundering Remediation Case Studies

Oct 28, 2021

Compliance

Skilled Person Reviews (S166) Case Studies

Sep 06, 2021 - 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

Markets Services Case Studies

Sep 06, 2021 - 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.