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Corporate & Regulatory Investigations

Investigations involving allegations of financial fraud, misappropriation, and corruption continue to plague businesses worldwide.  From start-ups to large multinational enterprises, successful organizations depend on their reputation and integrity, respecting laws and regulations to maintain stakeholder confidence.  Investigations into alleged wrongdoing have become more complex when it comes to gathering all relevant facts and managing any subsequent financial, legal, and organizational impact.

Treliant’s experts work with organizations and their counsel to investigate facts, resolve disputes, and manage regulatory challenges in environments where the level of scrutiny is high and the margin for error is low.   Treliant is skilled at navigating industries where there is intense regulatory and media scrutiny.  Additionally, our leaders are able to pinpoint how and why misconduct occurred, and work with clients to develop and implement risk-based controls to prevent future wrongdoing. We have the bandwidth and the expertise to quickly and effectively respond, at headquarters or across the globe.
 
Treliant’s Corporate and Regulatory Investigations practice provides forensic accounting, data analytics, and expert witness services in investigations before the SEC, DOJ, and other government agencies.  Our service offerings include:
 
  • Corporate Investigations
  • Regulatory Investigations
    • Securities Litigation
    • Broker-Dealer Investigations
    • Investment Adviser, Hedge Fund, and Private Equity Investigations
  • Anti-Bribery and Corruption (ABC) Services
  • Independent Regulatory Audits
  • Litigation Support

Corporate Investigations:

Treliant has deep experience working closely with law firms and general counsel to assist clients in management-led internal investigations and independent audit-committee investigations in regulatory matters.  The services we provide include:
  • Forensic accounting, including risk-based judgmental sampling and analysis of underlying records  and supporting documentation related to specific accounting transactions
  • Forensic technology, including data analytics and discovery management
  • Supporting counsel in interviews of accounting, finance, and audit personnel
  • Reporting on investigation findings and recommended remedial measures, where appropriate
  • Assisting counsel with presentations to the SEC, DOJ, and other government agencies on investigative procedures and factual findings

Regulatory Investigations:

Our securities experts provide support to counsel in private securities litigation and in DOJ, SEC, and FINRA investigations involving broker-dealers, investment advisors, hedge funds, and private equity firms.   Our services include:
  • Internal and Audit Committee Investigations
  • Market Manipulation Investigations
  • Improper Commingling of Invested Funds
  • Sales Practices and Supervisory Investigations
  • Regulatory Exam Preparation, Internal Audits, and Mock Examination Services
  • Remediation of Compliance Program and Internal Control Deficiencies

Anti-Bribery and Corruption Services:

Treliant has deep experience working closely with companies and their counsel on a wide range of ABC-related services for clients in the US, Europe, South America, the Middle East, Africa, and Asia.  Our findings have been presented to the SEC, DOJ, SFO, and other foreign regulatory authorities – in compliance with restrictive data protection and privacy regimes around the world.
Our areas of specialization include:
  • ABC Investigations
  • ABC Risk Assessments
  • ABC Compliance Audits
  • Pre- and Post- Acquisition Due Diligence
  • Post-Merger Integration
  • Implementation, Testing, and Monitoring of ABC Programs and Controls
  • Development of Management and Board Training Programs

Independent Regulatory Audits:

Treliant professionals have extensive experience conducting independent audits of entities under regulatory scrutiny.   Representative engagements include:
  • Forensic Accountant to the New York Stock Exchange (NYSE) Regulatory Auditor during an SEC-mandated independent audit of NYSE policies and procedures regarding trading by floor members
  • Independent Auditor in a false claims act matter to facilitate settlement among a global shipping company, DOJ, and Department of Navy
  • External Compliance Advisor for multilateral investment funds responsible for administration of  annual financial disclosure programs to ensure compliance with conflict of interest rules


 If your needs are not addressed by the advisory services listed above, view more of our Services or 

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Contacts

Pamela J. Parizek
Managing Director
Angela Desmond
Senior Advisor
James R. Causey
Senior Director II
Gino F. Ercolino, CRCP
Director
Ron Ziegler
Engagement Director
John Gilkes
Managing Director

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