Monique Melis
Managing Director and Global Head of Financial Services Compliance and Regulation
London
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.
Contact UsThe 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).
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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.
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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.
Connect With Us
Nicolas Inman
Managing Director
Financial Services Compliance and Regulation
London
Matteo Basso
Managing Director
Financial Services Compliance and Regulation
London
Mark Turner
Managing Director
Financial Services Compliance and Regulation
London
Julian Marsh
Managing Director
Financial Services Compliance and Regulation
London
Sebastien Petsas
Managing Director
Financial Services Compliance and Regulation
London
Global Regulatory Pulse 
Regulatory Updates
Global Regulatory Pulse
October 3, 2024
by Aaron Weiss, Colleen Corwell, Hannah Rossiter, Eoin Devlin, Rose Kaufman, Ana D. Petrovic, Andrew Poole, Alasdair Putt, Josh Parker, Rajiv Philip, Amrita Michael
Enterprise Risk
Global Technology Outage and Implications for Businesses
July 22, 2024
Financial Crime
Survey Reveals 69% of Respondents Expect Financial Crime to Increase - Download 2023 Fraud and Financial Crime Report
June 29, 2023
Regulatory Updates
FCA Issues Interim Update to Its Asset Management & Alternatives Supervisory Strategy
March 6, 2024
by Matteo Basso, Andrew Poole, Warren Low
Consumer Duty Regulatory Insights
Consumer Duty Regulatory Insights
Kroll’s Regulatory Advice and Consulting specialists provide insight on the regulatory change now approaching the financial services industry and discuss the FCAs intention to place clear accountability for compliant implementation of the Consumer Duty. Browse our featured items below.
U.S. Financial Services Compliance and Regulation
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.
Financial Services Compliance and Regulation
End-to-end governance, advisory and monitorship solutions to detect, mitigate, drive efficiencies and remediate operational, legal, compliance and regulatory risk.
Compliance and Regulation
End-to-end governance, advisory and monitorship solutions to detect, mitigate and remediate security, legal, compliance and regulatory risk.
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