Investigations & Monitorships

Today, organisations face unprecedented scrutiny and pressure in the global war on money laundering and terrorist financing. Often, investigations are unavoidable, whether initiated internally by a compliance group or internal auditor, or externally by regulators or other governing bodies. Global clients rely on our investigative services and customised solutions in response to anti-money laundering (“AML”), sanctions and financial crimes. Law firms, regulators, financial institutions and cash-dependent corporations engage us as a trusted, independent partner to launch end-to-end investigations and bring them to successful conclusions, or to serve as independent monitors as part of a settlement or deferred adjudication.

The growing complexity and effectiveness of globally coordinated anti-corruption regulatory enforcement requires organisations to develop effective investigative protocols. Protocols enable organisations to gauge the scope and severity of potential non compliance when concerns arise. Organisations that deftly understand and responsibly remediate instances of misconduct have more productive outcomes both internally and with regulators, including the chance of avoiding the imposition of a monitor. Such remedial measures can include the creation, installation and monitoring of corporate compliance and governance programmes. We help organisations avoid violations and, when events of noncompliance are suspected, assist them and their counsel in conducting fact-finding investigations, utilising leading investigative protocols, tools and techniques.

Corporate risks, if realised, can significantly impact an organisation’s operations and lead to costly business disruptions. Corporate risks involving allegations of improper business conduct often result in the need to conduct an internal investigation. Leading companies, law firms and enforcement agencies around the globe rely on our firm as a trusted, independent partner to assist in responding to allegations, conducting investigations, managing collateral consequences to corporate reputations and mitigating the financial impact. Our senior expert team designs and executes practical investigative strategies, utilising advanced technologies to gather and analyse facts that bring a corporate investigation to a successful conclusion.

Most global organisations contend with export controls, sanctions and trade-related risks. To stay current with regulatory requirements and prevent or resolve export controls- and sanctions-related issues, many of the world’s top law firms, top bank holding companies and half of the Global 100 partner with our firm. They leverage our decades of government enforcement and in-house risk and compliance experience and our global geographic footprint. We help them navigate the complexity of export controls and sanctions compliance by distilling these complex issues into manageable, actionable and auditable internal controls.

More and more, global financial institutions are scrutinised by regulatory agencies for matters involving non-financial regulatory reporting and allegations of malfeasance in financial transactions, while executing complex customer remediation programmes. These matters and investigations originate with a regulator, whistleblower, employee, internal group or the press, and require a quick response to protect corporate operations and reputation. Often, internal investigations must be conducted, and, sometimes, an outside monitor must be appointed. Organisations, external counsel and regulators call on FTI Consulting as a trusted, independent partner to manage investigations and institute compliance and governance programmes that proactively prevent them.

Clients and their legal advisors have called on us to help resolve some of the world’s most high-profile cases, and we’ve helped them successfully resolve numerous regulatory matters. Our global scale, reach and presence allow us to cover complex asset searches in multiple jurisdictions. We deploy teams anywhere in the world, offering you multilingual capabilities, familiarity with different countries’ business practises and customs, in-house investigative abilities to conduct on-the-ground inquiries and provide personalised client service directly engaged on your project.

Global organisations face vast regulatory, economic and legal challenges. Major disruptive events lead to organisational uncertainty and instability. Changing business models, restructurings, downsizings and other corporate events often result in pressures on employees that may lead to fraud or misconduct. Organisations engage us to address allegations regarding accounting improprieties, conflicts of interest, misappropriation of assets and circumvention of regulations. Our team of seasoned forensic accountants, financial experts, data analysts, statisticians, technology and security professionals, and business intelligence experts sift through complex data and apply proven investigative and forensic accounting methods to support legal teams and act as independent investigators.

Organisations of every size in every industry are subject to regulatory settlements that may require an independent monitor. Government regulatory agencies frequently need to appoint an integrity monitor to verify an organisation’s compliance with terms of a settlement. For decades, our firm’s integrated global team of senior compliance experts and industry specialists has assisted monitors or served as the independent monitor in these matters. We also proactively evaluate, enhance and monitor the effectiveness of compliance programmes for top-performing global organisations across all industries and sectors.

Our global team’s wealth of monitoring experience and international resources with extensive knowledge of regulatory compliance and investigations combine seamlessly, without the burden of auditor independence, member firm obstacles or conflicts of interest. The team’s proven approach and decades of monitoring experience and successful execution enable us to cost-effectively satisfy your compliance and monitoring needs. We maintain independence and fulfil your company’s legal and compliance remediation obligations under the monitoring agreement, all with the highest degree of professionalism.