Investigations involving the financial industry can be complex, affect reputations and raise serious issues for licensed firms. When senior management suspects or learns of actual malfeasance they need to consider the possible effect on their licenses, reputation and clients as well as traditional questions about whether to involve law enforcement, the civil process or suspend or dismiss those involved.

In many cases the actual dollar value of the loss and any subsequent recovery actions are not always the most important issues to address. Recent asset management and hedge fund scandals have demonstrated clearly that integrity and management failures can severely reduce assets under management as clients flee a scandal rocked firm or assets are criminally diverted.

ComplianceAsia has assembled a multi-disciplined team to assist you and your legal counsel (whether in house or external) with these challenging issues.

Our team consists of experienced investigators, criminal lawyers, regulatory experts and

accountants who have worked extensively on financial industry compliance and regulatory issues, fraud investigation, forensic accounting, electronic evidence recovery, criminal inquiries, civil disputes and commercial intelligence gathering.

ComplianceAsia is able to advise you on the critical decisions that need to be made throughout these investigations and the various options you have to protect your firm’s wider interests. We work closely with your external counsel to support the advice they give and provide litigation support services where required. We can quickly assemble the resources that are not available in house to comprehensively address these problems.