Some companies which operate in the financial markets are certain that their employees are always going to behave in a professional, upright, honest manner and that any dishonesty would be trapped immediately by their risk management systems. Other companies are aware that recent history shows us that this is not always the case – and also suspect that their own procedures could be improved.

Whether fraudulent activity by employees is suspected, or absolute proof of such fraud is required, we work in a discreet manner to analyse the relevant areas of activity in the client company.

 

The services we offer to clients include:

• Detailed tracking of recent market transactions.
• Checking the "rationality" of individual and linked trading / investment decisions.
• Monitoring exposures to favoured counterparties.
• Monitoring frequency of dealing with favoured counterparties.
• Monitoring commissions paid to favoured brokers.
• A review of existing operating procedures and reporting structures.
• A review of current internal control systems.
• Comparisons of existing practices with "best market practice".
• A full range of training in all aspects of operating procedures and report creation for all members of staff, be they directors, traders, fund managers or support teams (for details, see the page on this website headed Education & Training.

Often these services have to be undertaken at nights and at weekends, in order to avoid alerting staff to the fact that there is such an investigation taking place.

Final reports are given personally to Board Directors and/or Compliance staff, but we have no brief from any regulatory authority to report our findings to them also.

 

We regret that, for obvious reasons, we cannot provide you with references for this area of our activity !