Financial services firms are under constant scrutiny by the Federal, State, and Local Governments as well as private entities. Often, this scrutiny focuses on compliance issues. The Alaric team, working with outside boards and counsel, helps financial services firms address this scrutiny by conducting independent investigations. These investigations, often protected by attorney-client and/or attorney work product privileges, can mitigate regulatory, compliance, and reputational risks. The investigations may include pre-hiring or acquisition screenings and due diligence reviews of new clients, business partners and suppliers, internal reviews regarding the conduct and practices of employees, business partners, clients and others, vis a vie the firm’s compliance policies and procedures, employee guides, securities laws, regulatory requirements, and best practices.
The Alaric investigation team is comprised of attorneys, former law enforcement personnel and industry experts who have experience working with regulators, counsel, and law enforcement.
Please note that the clients served by this service include Private Funds, BDCs and Investment Advisers