Monique Melis
Managing Director and Global Head of Financial Services Compliance and Regulation
London
UK Compliance Services
Kroll's team of regulatory and compliance experts – drawn from the FCA, financial institutions, and major professional services firms – provides a comprehensive and unrivaled range of regulatory and compliance services to the UK asset management, investment banking and brokering industries.
Contact usExplore UK Compliance Services
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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 firms 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.
Services include:
- Audit of Compliance and Risk
- Client Money/Custody
- Compliance Consulting
- FCA Authorizations
- FCA Reporting Support
- FCA Visit Preparation: Firm Systematic Framework (FSF)
- Governance, Systems and Controls
- Investment Compliance Monitoring
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Matteo Basso
Managing Director
London
Nicolas Inman
Managing Director
Financial Services Compliance and Regulation
London
Sebastien Petsas
Managing Director
Financial Services Compliance and Regulation
London
Mark Turner
Managing Director
Financial Services Compliance and Regulation
London
Recent Industry Recognition
 | Private Equity Wire US Awards |
 | Private Equity Wire European Awards 2023 |
Compliance Consulting
Expert compliance support for a variety of firms including hedge funds, private equity firms, wealth managers, corporate finance and broker-dealers.
Senior Managers and Certification Regime (SM&CR) Consulting and Implementation Support
Kroll provides a comprehensive range of support to all firms and individuals subject to SM&CR, with solutions that are proportionate, practical and fully compliant with the regulations.
Secondments and Outsourcing
All firms need to ensure ongoing operations are adequately resourced and bench marked to peers.
FCA Authorization Application for Financial Services
Our authorization service offers a full project management process ensuring that resources can be focused on other areas of the business.
Market Services
Comply with regulatory obligations and meet industry best practice in relation to all aspects of markets, pre-trade and post-trade regulatory reporting and surveillance.
Investment Firm Prudential Regime Support
Assistance at all stages of IFPR implementation. We help understand the rules, implement changes and meet regulatory reporting standards.
Trade and Transaction Reporting Services
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.
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Restrictions, Prohibitions and Mandates of the SEC’s Private Fund Rules
Regulatory Updates
Restrictions, Prohibitions and Mandates of the SEC’s Private Fund Rules
August 25, 2023
by Ken C. Joseph, Esq., Anna Povinelli, Alyssa Heim, David Larsen, Chris Janssen, Kenneth D'Aurizio
Regulatory Updates
Impact of SEC Form PF Amendments on Fund Advisers
May 10, 2023
by Ken C. Joseph, Esq., Anna Povinelli, Alyssa Heim
Regulatory Updates
Back from the Brink - Silicon Valley Bank UK’s Implications for Alternative Asset Managers
March 17, 2023
by Matteo Basso, Warren Low
Regulatory Updates
Consumer Duty - FCA Engages with Industry Sectors Using Webinar Series
December 19, 2022
by Mark Turner, Yasmin Papaloizou, Matt Morgan, Clara Coleman, Shirley Clarke
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