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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Due Diligence
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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.

Recent Industry Recognition

Compliance Consulting

Expert compliance support for a variety of firms including hedge funds, private equity firms, wealth managers, corporate finance and broker-dealers.

Senior Managers and Certification Regime (SM&CR) Consulting and Implementation Support

Kroll provides a comprehensive range of support to all firms and individuals subject to SM&CR, with solutions that are proportionate, practical and fully compliant with the regulations.

Secondments and Outsourcing

All firms need to ensure ongoing operations are adequately resourced and bench marked to peers.

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.

Market Services

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.

Investment Firm Prudential Regime Support

Assistance at all stages of IFPR implementation. We help understand the rules, implement changes and meet regulatory reporting standards.

Trade and Transaction Reporting Services

Consumer Duty Regulatory Insights

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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