Financial Regulatory Investigations
How We Help
Financial institutions, law firms, private equity firms, and regulators around the world retain FTI Consulting to address significant financial regulatory projects, relying on our senior practitioners’ deep expertise and experience in investigations, litigation and technology in all major industry sectors. When clients partner with us, we deploy a multidisciplinary team of experts with the experience and expertise to address their specific needs. We are former regulators and law enforcement officials, bankers and compliance executives, internal and external financial institution auditors from the Big 4, and senior data and systems specialists.
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 practices and customs, in-house investigative abilities to conduct on-the-ground inquiries, and personalized client service directly engaged on your project.
If an organization wants to proactively prevent allegation or investigation issues from arising — or is responding to a regulator’s request for information or formal inquiry — clients rely on our expertise and established methods. We work with their internal and external counsel, develop a response plan, conduct a fact-finding investigation, and collect and analyze data and documentation to respond to regulators. In addition, we help clients build effective compliance, detection, and risk management programs.
You benefit from our approaches that maximize the likelihood of success in cost-effective ways. Services for which our clients frequently engage us include:
- Managing and assisting with responses to federal and state civil and criminal regulatory inquiries and investigations
- Internal investigations and factfinding
- Electronic evidence discovery and managed document reviews
- Complex remediation programs (mutual funds, UITs)
- AML and trade-sanctioned lookbacks and investigations
- Investigation of unusual financial activity and embezzlement
- Internal controls assessment and process improvement plans
- Forensic data analytics
- Litigation support, transactional disputes, and damage modeling
- Expert witness services
