Financial Services Compliance and Regulation

Kroll partners with regulators and firms worldwide to deliver comprehensive skilled person reports, address risks and resume to business as usual. We streamline processes, allowing firms to tackle challenges, ensure compliance, and prioritize their core business.

Kroll is a leader in performing regulatory and compliance reviews that complement the financial, commercial and legal M&A transaction due diligence process.

Kroll's expert team provides regulatory registration and licensing services taking the burden of regulatory requirements off business operators. We partner with you to answer regulator queries and assist you in developing a tailored operational framework that meets regulator and investor expectations.

Kroll provides comprehensive retained and ad hoc regulatory compliance consulting services, ensuring firms maintain a competitive edge amid evolving regulatory landscapes across the UK, Europe, North America, Hong Kong and Singapore.

In an era of increasing regulatory scrutiny, Kroll stands as a premier provider of Regulatory Advisory and Assurance Services to the financial services industry. Our award-winning team helps clients navigate complex regulatory landscapes, offering tailored solutions from governance and risk management to financial crime prevention and investment compliance.

Kroll’s Financial Services Internal Audit practice has specialist teams with subject matter experts who help our clients properly manage their major risks. We provide value-adding ideas and solutions to help achieve your business objectives.

Kroll operates several regulated platforms designed for clients wishing to conduct investment advice, arrange deals or operate private funds or alternative investment funds via our UK regulatory hosting solution.