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Compliance, Monitoring & Receivership

Corporations of every size face a range of enterprise risks or have to comply with mandated regulatory settlements requiring independent monitoring. Such ongoing challenges require an operating environment that has robust internal controls and compliance policies that are tested and remediated on an on-going basis. FTI Consulting provides integrated global teams of industry specialists and compliance experts who offer a cost-effective approach to testing, enhancing and monitoring corporate compliance programs. In matters involving allegations of ongoing fraud or other malfeasance where a monitor, examiner or receiver may be appointed by the court, our professionals also understand the time-critical nature of implementing a plan of action, communicating with multiple constituencies and managing the inherent complexity of such appointments.

Our Service Offerings

Compliance

Effective compliance programs play a critical role in warning off potential threats and preventing violations of laws that, at a minimum, could tarnish a corporation’s image and impact its business relationships or financial viability. Our highly experienced professionals bring detailed knowledge of their fields and industries to client projects, providing full-scale assessments, process improvement and support for compliance programs. We help analyze current policies and procedures to find gaps or breaches in existing safeguards and are adept at designing and implementing controls that serve to rehabilitate deficiencies and/or monitor the continuing effectiveness of an organization’s compliance program in an ever-changing business environment.

Corporate Monitoring Services

Prosecutors and regulators frequently require appointment of a corporate integrity monitor to verify a company’s compliance with the terms of a settlement. The appointment of a monitor extends the reach of law enforcement by enabling the government to conditionally suspend a prosecution or enforcement action while a company works to implement agreed-upon business and compliance reforms. FTI Consulting has a wealth of experience and the necessary resources to serve as an independent monitor across all industries and professions.

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Receiver, Examiner & Trustee Services

FTI Consulting has not only supported the work of receivers, examiners and trustees, but we also have been appointed directly to work in that capacity. We are retained to recover and analyze enterprise-wide data; independently investigate, gather and document relevant facts; clarify or reconstruct complex financial transactions; apply forensic accounting techniques; and quantify damages in a variety of receiverships, bankruptcies, wind-downs or involuntary liquidations. We offer a complete range of electronic evidence capture and review tools that identify, preserve and collect relevant information and empower rapid analysis.

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Key Contact

Michael R. Pace

Global Practice Leader and Senior Managing Director, Global Risk and Investigations Practice (GRIP)