Regulatory Investigations Strip


When facing a lengthy, comprehensive inquiry, enlisting a team of experts with the resources and staying power to deal with complicated and protracted issues is critical. Compass Lexecon is routinely engaged by clients facing investigations and ongoing regulatory compliance issues. We also are regularly called upon by regulators to assist in conducting investigations and examinations on their behalf. Our economists have investigated allegations of futures and securities market manipulation, insider trading, tax fraud and economic substance, internal fraud, accounting fraud, and unauthorized trading activities.

Having been retained both by the government and by clients dealing with government investigations, we have developed a reputation for offering dispassionate and independent advice valued by all parties. Leveraging our extensive IT knowledge and resources, we have the unique capability to process and make sense of large data sets. With an understanding of various institutions’ information technology systems, we can conduct the extensive, detailed empirical analyses that particular regulatory problems often necessitate.

Compass Lexecon counts among our professionals a number of experts with previous experience as regulators. Combining academic expertise with practical experience in the trenches, our professionals have worked at the Department of Justice, the Federal Reserve System, and the Securities and Exchange Commission.

Compass Lexecon professionals have assisted with investigations involving the Commodity Futures Trading Commission, Department of Justice, Federal Energy Regulatory Commission, Internal Revenue Service, and Securities and Exchange Commission. In addition to our U.S. engagements, we have also been retained on cases involving European regulatory bodies, such as the U.K. Financial Services Authority.

Our experience in this area includes assisting clients and regulators with investigations and analyses of issues such as the following:

• Financial Market Manipulation

• Insider Trading

• Tax Fraud and Economic Substance

• Internal Fraud

• Accounting Fraud

• Internal Controls

• Unauthorized Trading Activity