Regulators in New Zealand and globally are becoming increasingly connected and active, with considerable focus on market manipulation, collusion, insider trading and the handling of price sensitive information, mis-selling and misleading investors and customers.
Regulatory investigations often involve complex issues, vast volumes of documents and intense pressure. The stakes are high – with considerable financial and reputational risk involved, both for the organisation and individuals concerned. Our Financial Crime team is regularly trusted by regulators, law firms and organisations to assist with regulatory investigations, so you can take comfort that you are in safe hands. We are specifically resourced with both the skills, scale and the infrastructure required to assist you at short notice.
Regulatory investigations often uncover issues hidden from the Board and senior management. We have an excellent track record of working with clients to remediate culture and develop appropriate controls and procedures. Our market-misconduct services bring together a breadth of depth of expertise to support you:
- We can work with your legal and technology teams to respond to regulatory notices efficiently and on time
- Complete the investigation (regulator or client side) or assist you with aspects of the investigation. Our subject matter experts provide you with a broad range of skills include Forensic Accounting, Data Analytics, Forensic Technology and Investigation
- By providing expert evidence. We have a proven track record of providing expert evidence in complex high profile cases
- Identify the root cause of any regulatory breaches
- Remediate any deficiencies you have in areas such as systems, processes, policies, controls, governance and culture
- Design and implement strengthened measures to enable better monitoring, detection and reporting
- Review and assess the strength of their compliance programmes, control systems and the risk culture
- Help you implement technology and systems for detecting and monitoring unusual activity
- Pre-empt regulatory change and/or focus
- Complete “deep dive” reviews into areas of the business causing concern or likely to be of interest to the regulators
- Conduct simulation readiness exercises to help you identify the technical, practical and legal challenges in responding to regulatory notices.
- Address the technical and practical challenges identified