SEC Investigations 

FTI offers specialized services to help clients comply with government regulations and improve internal controls and governance. We have extensive experience providing consulting assistance and expert witness services to securities counsel and their clients regarding SEC Division of Enforcement inquiries and investigations, as well as Rule 102(e) proceedings. 

Along with first-rate technical knowledge and credentials, we bring a solid understanding of the securities laws and regulations and have assisted clients in many high-profile investigations. Our professionals include several forensic accountants and former senior members of the SEC accounting staff from the Division of Enforcement, as well as others from the Office of the Chief Accountant and the Division of Corporation Finance.

We bring to the table:

  • A thorough grasp of the SEC's accounting enforcement program
  • Extensive experience formulating and defending financial reporting positions
  • The ability to conduct forensic accounting investigations and record reconstruction
  • Assistance in interpreting and responding to subpoenas and requests for information
  • Substantial skills helping counsel with document production and preparation for testimony
  • The ability to help registrants avoid protracted SEC investigations and facilitate closure on contentious financial reporting issues before they escalate into enforcement matters

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