Overview of International Enforcement of the Securities Laws

Forensic Procedures in Securities Investigations - common types of securities-related investigations and related forensic procedures

Each investigation is unique in many respects owing to the nature of the alleged wrongdoing, the jurisdiction involved and the company's industry; however, there remains a basic framework applicable to most investigations, including some common processes and procedures.

Most forensic investigations have the following key elements: a triggering event; a preliminary analysis; planning and coordination; discovery of data and other evidence; interviews; compilation and analysis of facts; conclusion of findings; and reporting of findings, recommendations and remediation.

Most of these elements will be repeated during an investigation as allegations are clarified and additional information is assessed resulting in additional planning, discovery, interviews and analysis being performed. An essential element of an investigation is the preservation, collection, processing and review of evidence, the vast majority of which is in electronic form.

In this chapter published by Global Investigations Review FRA experts Frances McLeod, Jerry Hansen, Neil Keenan and Alejandro Gomez Igbo discuss common features and key considerations when undertaking this aspect of an investigation,and the challenges that can arise from relatively recently enacted privacy laws, blocking statutes and state secret acts.

Read the full chapter here.

The whole publication is available at https://globalinvestigationsreview.com/guide/the-guide-international-enforcement-of-the-securities-laws/first-edition