Compliance Consulting

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

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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. Initiatives, such as AIFMD, MiFID II, FATCA, Dodd Frank and GDPR, 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.

Kroll is a trusted and leading global compliance consultant to a variety of firms including hedge funds, private equity firms, wealth managers, corporate finance and broker dealers.

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 authorization or registration, through to providing ongoing compliance services to navigate the rapidly changing regulatory landscape.

Start-up Services Include
  • Compliance advice on start-up issues
  • Registration/authorization assistance including FCA, SEC, SFC, MAS, and AMF
  • FCA regulatory hosting for advisers/arrangers
  • Compliance infrastructure design, policies and procedures
  • Regulatory tax advisory services
  • Capital and liquidity forecasts
  • Business modeling and entity incorporations

 

Ongoing Compliance Support and Advisory Services Include
  • Retained/ad-hoc compliance and regulatory services 
  • Compliance infrastructure design, policies and procedures
  • Thematic compliance reviews
  • Annual and ongoing reviews of compliance arrangements, systems and controls
  • Mock regulatory audits, pre-enforcement and supervisory reviews
  • Support with on-site regulator visits, examinations and enforcement investigations
  • Employee trading reviews
  • Cyber security policies, procedures and assessments
  • 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
 

We are active members of industry associations across the globe including the Alternative Investment Management Association (AIMA), British Private Equity and Venture Capital Association (BVCA), Managed Funds Association (MFA), Irish Funds Association, Association of the Luxembourg Fund Industry (ALFI), Association Professionnelle des Investisseurs pour la Croissance (AIFC) and Investment Management Association (IMA).

Related Team

Connect with us

Ian Manson
Ian Manson
Managing Director
Financial Services Compliance and Regulation
London
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Ken Joseph
Ken C. Joseph, Esq.
Managing Director
Financial Services Compliance and Regulation
New York
Phone
Nicolas Inman
Nicolas Inman
Managing Director
Financial Services Compliance and Regulation
Hong Kong
Phone
Hannah Rossiter is a director at Duff & Phelps.
Hannah Rossiter
Managing Director
Financial Services Compliance and Regulation
Paris
Phone

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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


Regulatory Focus – June 2021

Jul 23, 2021

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Regulatory Focus – May 2021

May 25, 2021

Compliance


FCA Updates – April 2021

Apr 30, 2021

by Darragh FinnAlex Lander Amelie Snape, Jennifer Crouch, Laura Febbrari, Kristian Sotiriou, Giles McClelland, Matteo Basso, Tom Bevan, Peter Timson, Darragh Finn, Laura Febbrari