In the financial services industry, the need for an internal investigation generally arises in one of two contexts – as part of a client’s ordinary review and management procedures, or in response to suspicious activity, brought to light by a company employee or customer or as the result of an agency inquiry or investigation.
Our attorneys’ depth of experience enables us to design and quickly conduct discrete, confidential internal investigations to proactively identify the scope and severity of the problem, determine its root cause, and help firm leadership develop a mitigation plan. Internal investigations can help a firm thoroughly vet their regulatory, reputational, and civil liability risks. The information obtained through these investigations assists our clients in structuring responses to limit or avoid liability to third parties or regulators, and in implementing corrective policies and procedures in the area under investigation.
Our substantial experience working with regulators and representing clients during regulatory investigations allows Lawrence Kamin to efficiently conduct internal investigations when a firm detects a potential problem. Because we understand how regulators think, we can better anticipate how they will respond and what they will look for.
Whether a financial firm suspects one of its representatives or associated persons has engaged in intentional fraud, or believes an inadvertent violation may have occurred, our team has the requisite skill to determine the scope of the problem, and to minimize risk to the firm and its leadership.