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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Client Stories
Client Stories
Discover how Kroll built a dedicated client service team for a large banking institution, provided a customized due diligence solution, and saved 70% on their costs over a three-year period. Request our qualifications.
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.
Discover how Kroll built a dedicated client service team for a large banking institution, provided a customized due diligence solution, and saved 70% on their costs over a three-year period. Request our qualifications.
Services include:
- Audit of Compliance and Risk
- Client Money/Custody
- Compliance Consulting
- FCA Authorizations
- FCA Reporting Support
- FCA Visit Preparation: Firm Systematic Framework (FSF)
- Governance, Systems and Controls
- Investment Compliance Monitoring
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Recent Industry Recognition
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Private Equity Wire European Awards 2023 |
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Private Equity Wire US Awards 2022 |
Explore areas we can helpStay Ahead with Kroll
Compliance Consulting
Expert compliance support for a variety of firms including hedge funds, private equity firms, wealth managers, corporate finance and broker-dealers.
FCA Authorization Application for Financial Services
Our authorization service offers a full project management process ensuring that resources can be focused on other areas of the business.
Consumer Duty Regulatory Insights
Kroll’s Regulatory Advice and Consulting specialists provide insight on the regulatory change now approaching the financial services industry and discuss the FCAs intention to place clear accountability for compliant implementation of the Consumer Duty.
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