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.

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.

FTI Consulting professionals have substantial experience serving as an independent monitor; providing forensic accounting, investigative and other analytical support services to monitors; assessing compliance programs and systems of internal controls; and reporting to government agencies. We employ our extensive resources and industry knowledge in a manner designed to avoid unnecessary interference with ongoing business operations and to control costs while maintaining rigorous independence.

We have three paramount goals in every monitoring assignment: effectiveness, efficiency and economy. We fulfill these goals by designing our monitoring plan in a manner that utilizes our extensive experience and resources, ensures independence and transparency in our work, promotes cooperation with all interested parties, manages both tangible and intangible costs to the enterprise, and maintains oversight and accountability.

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.

Taking control of a business being used to perpetuate a fraud requires speed, financial agility and technology. Our professional teams are composed of former federal prosecutors, law enforcement officials, Big 4 auditors and accountants formerly with the SEC’s Division of Enforcement and Office of the Chief Accountant. These professionals are coupled with experts in computer forensics, financial enterprise data administration, network security and penetration testing. Our collective experience in serving as or supporting receivers, examiners and trustees in their work enables our team to quickly assess a situation, apply the lessons of our past experience and design an appropriately scaled investigation to be performed in a phased and cost-effective manner.

Compliance Policies & Procedures

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Anti-Money Laundering Services

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Corporate Monitoring Services

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Receiver, Examiner and Trustee Services

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