Financial Services Compliance and Regulation

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.

Explore UK Compliance Services

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:

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
Investment Firm Prudential Regime Support
Market Conduct and Surveillance
MiFID II
MiFID Transaction Reporting
Prudential
Regulatory and Compliance Training
Trading Venues
Trade and Transaction Reporting
SM&CR Consulting and Implementation Support

Related Team

Connect with us

Monique Melis

Managing Director and Global Head of Financial Services Compliance and Regulation

London

Nick Bayley

Managing Director

Financial Services Compliance and Regulation

London

Matteo Basso

Managing Director

Compliance Consulting

London

Ian Manson

Managing Director

Financial Services Compliance and Regulation

London

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

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