An insider-risk investigation program for banks, asset managers, broker-dealers and regulated corporates.
This program runs your insider-risk and employee-conduct investigation operation across HR, surveillance and compliance referrals. Every matter is resolved end to end, into an investigation file. Configured to your policy framework, your surveillance stack and your escalation rules. Your Chief Compliance Officer or General Counsel stays accountable.
What we investigate
- Personal-account dealing, MNPI handling and information-barrier breach investigations.
- Conflict-of-interest, gift-and-entertainment and outside-business-activity policy investigations.
- Communications surveillance escalations: e-comms, voice and chat reviews against your lexicon and policy.
- Investigation files structured for HR, regulator and internal-audit review. Source-traced evidence lineage, examiner-ready narrative.