Regulatory Enforcement and Disputes

Kroll’s seasoned regulatory and financial experts provide global corporations, financial institutions, law firms and regulatory bodies with specialized expertise, leveraged from decades of on-the-ground experience. Our guidance, along with our resources, helps our clients stay ahead of their compliance and regulatory requirements and respond to any unforeseen shortcomings.

Regulatory Expert Support

Kroll’s team of skilled regulatory professionals brings decades of experience and specialized knowledge to the courtroom, offering invaluable insights and analysis that strengthen our clients’ cases. From money laundering and fraud to regulatory compliance issues, our experts have a deep understanding of the complexities within the financial crime landscape and financial services operating environment, which enables us to deliver comprehensive reports to support litigation.

Regulatory Commissioned Reviews

Regulatory Commissioned Reviews represent a critical component of the supervision strategies of regulators around the globe. Kroll works closely with regulators across EMEA, the U.S. and APAC, providing meticulous examination of an organization’s operations, policies and procedures to assess compliance with regulatory requirements and provide tailored and practical recommendations to address any deficiencies. In the UK and UAE, Kroll is officially appointed to the Skilled Person Panel by local regulators.

Regulatory authorities around the world are increasingly engaging Kroll’s expert team to conduct reviews of AML and financial crime arrangements at regulated firms. These reviews deliver benefits to the firms being reviewed, allowing them to identify and rectify potential regulatory issues, mitigate financial crime risks and enhance their overall governance and risk management practices. Our approach to conducting such reviews is underpinned by a robust and well-defined methodology that ensures thoroughness, accuracy and actionable recommendations. We carefully plan and tailor each review to the specific regulatory requirements and unique needs of our clients.