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.

Global Compliance and Regulatory Expertise

Kroll’s experts provide a broad range of services to financial institutions worldwide, supporting sell-side banks, brokers and buy-side asset, and wealth managers. We guide clients through every stage to minimize regulatory risks and enhance operational efficiency.

Our services are tailored to meet the unique needs of each client. We provide specialist support through ongoing advisory services or one-off thematic or event-driven reviews. Financial institutions, both regulated and unregulated, rely on our expert global teams for support throughout the business life cycle, including domestic and cross-border assignments.

Explore Financial Services Compliance and Regulation

U.S. Financial Services Compliance and Regulation

UK Financial Services Compliance and Regulation Solutions

Middle East Financial Services Compliance and Regulation Solutions

How We Help Clients

Financial services clients engage us to assist at every stage of the business life cycle to meet regulatory requirements, mitigate risks and navigate the rapidly changing regulatory landscape.

Launch

Authorization, Licensing and Registration
- United States: SEC (Securities and Exchange Commission), FINRA (Financial Industry Regulatory Authority), NFA/CFTC (National Futures Association/Commodity Futures Trading Commission)
- Singapore: MAS (Monetary Authority of Singapore)
- Hong Kong: SFC (Securities and Futures Commission)
- Ireland: CBI (Central Bank of Ireland)
- France: AMF (Autorité des marchés financiers)
- United Arab Emirates: Dubai Financial Services Authority (DFSA), Financial Services Regulatory Authority (FSRA)
- United Kingdom: FCA (Financial Conduct Authority)
Establishment of Compliance Programs
Design and implementation of governance, risk and compliance infrastructures, supervision, systems and controls
UK Regulatory Hosting

Ongoing Compliance Support

Regulatory Advisory Services, including:
- Annual compliance reviews
- Long-term advisory relationships
- Risk and compliance secondments
- Compliance training
- Technology and data insight solutions
Retained Compliance Support and Managed Services
- Marketing review
- Electronic communications review
- Code of ethics monitoring

Regulatory Examination, Enforcement, Times of Stress

Skilled Person and Regulator Commissioned Reviews
Regulatory Advisory, including:
- Remediation design and implementation support
- Preparation and support for regulator visits and inspections
- Advice and support before, during and after enforcement
- Expert witness services
Mock regulator examinations and gap analyses
Regulatory enforcement support

Periods of Change

Our Clients

Private funds: hedge, equity, credit, real estate
Wealth managers and investment advisers
Registered investment companies (RICs)
Business development companies (BDCs)
Broker-dealers
Venture capitalists
Trust, corporate and fund administrators

Crypto asset service providers
Management companies and authorized corporate directors
Trading venues and clearing houses
Custodians
Banks and alternate credit, mortgage and finance providers
Crowdfunding platforms and peer-to-peer lenders
Insurance companies and brokers

Regulatory Expertise and Advisory Services

Our team provides specialized regulatory expertise in governance, risk and compliance to a wide array of financial institutions.

With a deep pool of talent, our industry experts provide tailored and relevant advice, leveraging their experience from leading financial institutions, regulators and professional advisory firms.

Expert Team	Connected	Focused
Multidisciplinary professionals with extensive technical and industry experience.	Strong industry connections and insights across the globe.	Dedicated to delivering precise and relevant regulatory advice.

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.

Download the Report

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