Global Regulatory Licensing Services
Kroll's expert compliance consulting team provides regulatory registration and licensing services taking the burden of regulatory requirements off business operators.
New Market Entrants Face Significant Challenges When Applying for Licenses
The licensing process for financial services firms has become increasingly difficult to navigate across all key financial services jurisdictions. The remit of financial services regulators is wider than ever before, and the landscape is increasingly complex with diverging local requirements.
In certain jurisdictions, new market entrants face significant challenges when applying for licenses. Startups should establish a strong compliance system from the start to navigate the licensing process smoothly and handle increased regulatory scrutiny during early growth. To succeed, new entrants must understand regulatory expectations and the local licensing process. Our experts specialize in helping you meet regulators' requirements by providing a customized policy and procedure framework as part of our services.
Kroll Can Secure Your License and Help You Create a Compliance Culture
Kroll will assist with securing your license and advise on the systems, technologies and processes that must be put in place to foster a compliance culture. This ensures clients are meeting the code of ethics, regulatory reporting and records obligations. This allows you to focus on marketing, fundraising or other activities required during start-up.
Kroll has unrivalled expertise supporting firms to complete a range of regulatory transactions across multiple jurisdictions. This may include applying with local regulators to initiate business operations, expanding an existing business, varying the current scope of activities or making changes to firm ownership or senior personnel.
Navigating Multiple Regulators
In addition to domestic regulatory obligations, we have significant expertise in assisting firms with their non-domestic regulatory footprints. We specialize in working with firms to allow them to meet the requirements and expectations of multiple regulators in the most efficient manner possible, ensuring firms operate under one compliance and code of ethics framework across multiple jurisdictions.
Our comprehensive global licensing services offer full project management ensuring that you can focus resources where they are needed most during a critical phase for your business. As part of the authorization service, we offer:
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We tailor our support to your needs, working with your existing compliance team and other third-party providers to ensure a seamless delivery of service. We have a proven track record of achieving positive and timely licensing outcomes for our clients.
Our team of compliance and regulatory experts has firsthand practical knowledge and experience in assisting firms to remain compliant with global regulatory standards, including meeting the requirements of:
- The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA)
- The Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC)
- The Autorité des Marchés Financiers (AMF) and the Autorité de Contrôle Prudentiel et de Résolution (ACPR)
- The Securities and Futures Commission (SFC)
- The Monetary Authority of Singapore (MAS)
- The Central Bank of Ireland (CBI)
Global Technology Outage and Implications for Businesses
As digital systems become more interdependent, the consequences can be far-reaching as we are seeing now. Learn how Kroll can help.
Stay Ahead with Kroll
Financial Services Compliance and Regulation
In the ever-evolving financial services landscape, Kroll's award-winning team offers comprehensive regulatory and compliance services, guiding clients through registration, licensing, and compliance support to minimize risks and enhance efficiency globally.
Frequently Asked Questions
