Financial Services Compliance and Regulation

UK Financial Services Compliance and Regulation 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.

The need for increased monitoring and reviewing of compliance procedures presents organizations with a consistently challenging working environment.

Regularly cited as "Best Regulatory Compliance Advisory Firm", Kroll is a leading global provider of compliance consulting services to the UK and global financial services industry. Clients consult our team of specialists at every stage of their business lifecycle to meet regulatory obligations and navigate the rapidly changing regulatory landscape. We work closely with regulatory bodies and industry associations throughout the world to provide our clients the best available information on regulatory requirements and trends.

Our team of compliance and regulatory experts has firsthand practical knowledge and experience in assisting organizations to remain compliant with global regulatory standards, including meeting the requirements of the FCA and the Prudential Regulation Authority (PRA).

  • Skilled Person and Regulator Commissioned Reviews

    In partnership with regulators and firms worldwide, Kroll delivers comprehensive skilled person reports focused on delivering an outcome that addresses issues, makes workable recommendations and restores the regulator’s confidence.

  • Regulatory Due Diligence

    Kroll is recognized as a leader in performing regulatory and compliance reviews to complement the financial, commercial and legal due diligence process involved in Mergers and Acquisitions (M&A) transactions.

  • Global Regulatory Licensing Services

    Kroll’s expert team is well-known for providing regulatory registration and licensing services, helping to alleviate the burden of regulatory requirements from business operators. Kroll partners with businesses to respond to regulator queries and assists in developing a tailored operational framework that meets both regulator and investor expectations.

  • Retained Compliance Support and Managed Services

    Kroll offers both comprehensive retained and ad hoc regulatory compliance consulting services. This ensures that firms can maintain a competitive edge amidst the constantly evolving regulatory landscapes across various regions including the UK, Europe, North America, Hong Kong and Singapore.

  • Regulatory Advisory and Assurance Services

    Kroll is a leading provider of Regulatory Advisory and Assurance Services, particularly to the financial services industry. Our award-winning team is dedicated to helping clients navigate through complex regulatory landscapes, offering tailored solutions that cover a wide range of areas, including governance, risk management, financial crime prevention and investment compliance.

  • Financial Services Internal Audit

    Kroll’s Financial Services Internal Audit specialists play a crucial role in assisting clients to effectively manage their major risks. By providing value-adding ideas and solutions, they not only help clients meet their business objectives but also ensure that these objectives are achieved in a risk-controlled environment.

  • Regulatory Hosting

    Kroll’s regulated platforms are specifically designed for clients who wish to conduct investment advice, arrange deals, or operate private funds or alternative investment funds. Our UK regulatory hosting solution provides a robust framework that ensures compliance with local regulations while allowing clients to focus on their core investment activities.

Kroll's 2025 Financial Crime Report

From pivotal elections to advances in AI to heightened geopolitical tensions, the events of the past year have only amplified the challenges of fighting financial crime. Based on data from over 600 executives across the globe, our report provides insight to help leaders prepare for what’s next.

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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.

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