Every investigation into alleged wrongdoing is entirely unique, with the jurisdiction(s) involved and the company’s industry changing each considerably. However, there remains a basic framework applicable to most investigations, including some common processes and procedures.
Global Investigations Review’s ‘Forensic Procedures in Securities Investigations’ chapter explores some of the common securities-related investigations and the forensic procedures that can be deployed, as well as best practices when presenting to enforcement agencies and regulators.
The chapter touches upon:
- The common types of securities related investigations including accounting-related fraud, corruption and money laundering
- Data governance considerations in forensic procedures including data scope, structured and unstructured data review, data hosting considerations, complex data issues and solutions
- Legal roadblocks to performing certain procedures including emerging data privacy concerns, GDPR and other privacy laws, state secret concerns, and blocking/localisation statutes
- Presentation of results of forensic procedures to regulators, including potential questions from regulators consider, electronic records, presentation of findings and observations