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Forensic Procedures in Securities Investigations

November 22, 2022

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

Read the full chapter here

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