Compass Lexecon has a long history of helping financial institutions with the challenges posed by changing regulatory requirements, evolving complex financial instruments, and volatile market conditions. We work with our financial institution clients on both litigation and business projects, helping them to quantify exposure, assess risks, and manage increasing data flows.
• Previous engagements have addressed a variety of financial institution types, including:
• Commercial, Retail, and Investment Banks
• Broker-Dealers, Specialist and Derivative Product and Trading Firms
• Insurance and Re-Insurance Companies
• Asset Managers and Alternative Investment Managers
• Trustees and Custodians
• Securities and Derivatives Exchanges, Clearinghouses, and Settlement Agents
• Consumer and Commercial Finance Companies
Compass Lexecon has an unparalleled team of expert witnesses with both regulatory and industry experience. Our experts include economists formerly employed by the U.S. Department of Justice, the Federal Reserve System, and the Securities and Exchange Commission, as well as former advisers to exchanges, the CFTC, IMF, and IOSCO, and senior practitioners and managers from leading financial services firms.
Our team has extensive experience in the collection, management, and analysis of large data sets. Compass Lexecon economists have a broad range of experience with different financial instruments and types of financial analysis, and we maintain a strong technology infrastructure to handle the large amounts of data arising from these cases. We have helped our clients review firm-wide data integrity and have assisted them with reviews of global data systems in the context of forensic investigations, litigation analyses, and regulatory inquiries.
Clients have enlisted Compass Lexecon to perform the following:
• Securities Class Action Analysis, Including ERISA and Class Certification Issues
• Valuation and Risk Analyses of Financial Products
• Analysis of Derivatives and Structured Financial Instruments
• Analysis of Firm-Wide Solvency and Contingent Asset-Liability Management Practices
• Bankruptcy and Financial Distress Advisory
• Analysis of Financial Market Manipulation Claims
• Market Practice, Risk Governance, and Risk Management Reviews
• Internal Investigations (e.g., Fraud, Unauthorized Trading)
• Regulatory Compliance and Assessments