Comprehensive Financial Services Regulation & Compliance Due Diligence Solutions

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

Pre Transaction

Kroll helps clients prepare for successful transactions by shaping investment theses, assessing strategic alternatives, and positioning assets to maximize value. Through comprehensive financial, operational, regulatory assessments, we help clients validate value drivers, mitigate downside risk and make informed decisions regarding pricing, deal structure and risk allocation.

Services

  • Supply Chain Practices
  • Regulatory Compliance Due Diligence
  • CFIUS (Committee on Foreign Investments)
  • Operational Due Diligence

Deliverables

  • Design of Governance, Risk and Compliance Infrastructures, Systems and Controls
  • Compliance reviews, independent assurance and health checks
  • Regulatory and compliance training

Post Transaction

Following a transaction, Kroll supports clients in driving performance, optimizing value and managing complexity across their investments. Whether you are entering a new market, strengthening your compliance program, responding to regulatory reviews or enforcement actions, or managing change, we deliver practical solutions that help you mitigate risk, satisfy regulators, and move forward with confidence.

Services

  • Sanctions
  • Screening/Compliance
  • AML, KYC and ABAC Compliance
  • Ongoing FCPA Analysis
  • Physical and Operational Security
  • Remediation/Ongoing Compliance

Deliverables

  • Mock regulator examinations/audits
  • Remediation design and implementation support
  • Preparation and support for regulator visits and inspections
  • Advice and support before, during and after enforcement
  • Expert witness services

Key Outcomes

  • Understand the compliance issues in the target’s field of business.
  • Early visibility into enterprise risks and guidance on addressing them.
  • Understand the cost of compliance improvement and ongoing investigations and their effect on the deal structure.
  • Evaluation of the financial impact of identified risks on deal valuation.

Our Experience

Former regulatory and compliance professionals
Engaged by 1,200+ firms for ongoing compliance support
Access to a wide library of pre-built and industry-specific policies and procedures templates
Expertise in AI, Crypto, Cloud, Data Analytics, Web 3.0 security, and data risks

Our Accolades

Regulatory Advisory & Compliance Firm of the Year 2024
Best Regulatory Advisory & Compliance Firm of the Year 2024
Rated 2024 Best Deal Advisory Firm by Private Equity Wire
M&A Advisor Emerging Leader Award 2024

Stay Ahead with Kroll

Comprehensive Due Diligence Solutions

Our Comprehensive Due Diligence solutions help clients minimize risks and make the most informed business decisions. We support in the areas of tax, compliance and regulatory, operations/strategy, M&A, financial and accounting, investigations, disputes and cyber/IT risk.

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