How We Help
Investigate & Evaluate
Government investigations and enforcement actions of corruption continue to rise. In addition to the U.S. Foreign Corrupt Practices Act and the U.K. Bribery Act, other countries in Europe, Asia and Latin America have recently passed anti-corruption laws and enforce them vigorously. Our deeply experienced professionals have helped companies around the world to address the complex issues surrounding anti-corruption risk management, internal controls, compliance and training. In addition, we conduct robust investigations of allegations or “red flags” indicating non-compliance.
Our professionals have experience in conducting internal investigations at financial services companies, including allegations raised by whistleblowers and concerns raised by regulators. We have conducted hundreds of internal reviews covering a wide range of topics including, anti-bribery and corruption, AML, trading, and third-party misconduct. Our investigators have the unique experience to not only investigate what happened but also evaluate the controls failures that led to possible misconduct.
Government Inquiries & Regulatory Exams
When you receive a subpoena or other government-issued requests for data, our forensic professionals who specialize in accounting, data analytics and technology, quickly review the data, and help carefully evaluate and understand it in order to present it to regulators. We are also experienced in preparing for and guiding companies through regulatory exams and responses.
Identify & Assess
Compliance & Risk Assessments
StoneTurn assists companies and counsel to identify and mitigate risks related to customers, employees, and third parties; test compliance controls; and prevent recurrence of misconduct by identifying root causes and implementing corrective measures. We are particularly experienced in evaluating and improving anti-bribery and corruption programs.
We also help companies to evaluate, develop and implement preventive and detective controls, and transaction monitoring programs. Through the integration of established benchmarks and predictive analytics, StoneTurn’s experts help create customized programs specific to each client’s needs and the relevant data sources available, such as trading, ERM and accounting systems.
The pricing of illiquid assets have increased levels of risk with respect to consistent and accurate valuation, making them subject to pricing manipulation, inaccurate or misleading performance measurement, and miscalculated potentially unsupported management fees. StoneTurn and its experts can assess pricing methodologies for reasonableness and consistency, analyze pricing for variability, outliers, and other indicators of risk, as well as review operational processes, internal controls and training governing pricing procedures.
Remediate & Monitor
StoneTurn’s professionals have earned credibility from regulators and frequently assist clients in responding to government inquiries. Our Compliance & Monitoring team has worked with organizations to remediate compliance programs after misconduct is discovered and to establish effective internal controls to ensure wrongdoing does not recur. We also serve as a court- or government-appointed monitor to oversee and assess remediation efforts.