Retained Compliance Support and Managed Services
With expertise in diverse regulatory frameworks, including the FCA, the SEC, AMF, SFC, MAS and more, Kroll offers practical support, from initial authorization to ongoing compliance support.
With expertise in diverse regulatory frameworks, including the FCA, the SEC, France’s Autorité des Marchés Financiers (AMF), Hong Kong’s Securities and Futures Commission (SFC), the Monetary Authority of Singapore (MAS) and more, we offer practical support, from initial authorization to ongoing compliance support.
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. Global regulatory developments and initiatives 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.
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 regulatory authorization or registration through to providing ongoing compliance services to navigate the rapidly changing regulatory landscape.
Retained Compliance Support and Advisory Services
|
|
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 FCA and the Prudential Regulation Authority (PRA)
- The SEC and the Commodity Futures Trading Commission (CFTC)
- The AMF and the Autorité de Contrôle Prudentiel et de Résolution (ACPR)
- The SFC
- The MAS
- The Central Bank of Ireland (CBI)
Managed Compliance Software
Kroll’s Managed Compliance Software is cost-effective and efficient technology that embeds Kroll’s global knowledge into financial services firms’ compliance programs, guiding you through all stages of the regulatory life cycle.
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.
UK Solutions
The UK regulatory landscape is constantly evolving, with new Financial Conduct Authority (FCA) initiatives introduced and working practices regularly updated at a European level.
U.S. Solutions
Navigate the ever-changing U.S. financial regulatory environment with confidence. Kroll provides unparalleled expertise in SEC, FINRA, NFA and CFTC regulations, helping clients mitigate risks, maintain current compliance programs and confidently overcome regulatory challenges.
