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Internal Investigations
We have assisted broker-dealers, investment advisers, and hedge fund managers in planning and executing internal investigations of potential violations of securities, banking, and other laws, as well as breaches of fiduciary duty. Recent engagements include our appointment by the Massachusetts Securities Division to conduct a review of the compliance procedures of an independent broker dealer, and to draft revisions to those policies and procedures. We tailor these investigations to meet the client’s needs on a particular matter. For example, if a report is required, we will prepare and submit one. If an investigation requires the expertise of an outside forensic expert, we have a network of professionals to draw from across the country, whether it be a private investigator, economic expert or even a drug testing laboratory.
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