Skip to footer FRA Forensic Risk Alliance ABOUT FRA EXPERTISE RESULTS NEWS AND INSIGHTS FRA PULSE CAREERS CONTACT Overview of International Enforcement of the Securities Laws November 23, 2021 Forensic Procedures in Securities Investigations – common types of securities-related investigations and related forensic procedures. Each investigation is unique in many respects owing to the nature of the alleged wrongdoing, the jurisdiction involved and the company’s industry; however, there remains a basic framework applicable to most investigations, including some common processes and procedures. Most forensic investigations have the following key elements: a triggering event; a preliminary analysis; planning and coordination; discovery of data and other evidence; interviews; compilation and analysis of facts; conclusion of findings; and reporting of findings, recommendations and remediation. Most of these elements will be repeated during an investigation as allegations are clarified and additional information is assessed resulting in additional planning, discovery, interviews and analysis being performed. An essential element of an investigation is the preservation, collection, processing and review of evidence, the vast majority of which is in electronic form. In this chapter published by Global Investigations Review FRA experts Frances McLeod, Jerry Hansen, Neil Keenan and Alejandro Gomez Igbo discuss common features and key considerations when undertaking this aspect of an investigation,and the challenges that can arise from relatively recently enacted privacy laws, blocking statutes and state secret acts. Read the full chapter here. The whole publication is available at https://globalinvestigationsreview.com/guide/the-guide-international-enforcement-of-the-securities-laws/first-edition Meet the Authors Frances McLeod Founding Partner Frances McLeod is a Founding Partner of FRA, head of its US offices and recognised in GIR’s “women in investigations” listing as one of the top 100 remarkable women in […] READ BIO Jerry Hansen Partner Jerry Hansen is a Partner based in FRA’s Dallas, Texas office. He has over 25 years of experience in accounting and forensic services including mergers and acquisition disputes, audit/accounting malpractice […] READ BIO Neil Keenan Partner Neil Keenan is a Partner at FRA based in the firm’s Washington DC office. He has considerable experience providing accounting and advisory services to clients across a variety of industries, […] READ BIO Alejandro Gomez-Igbo Director Alejandro Gomez-Igbo is a Director in FRA’s Data Governance, Technology Solutions and Forensics team, based in London. Alejandro’s unique experience traverses both structured and unstructured data, providing holistic strategic perspective […] READ BIO Want to receive updates from FRA? JOIN OUR MAILING LIST LONDON Audrey House 16-20 Ely Place London EC1N 6SN United Kingdom +44 (0)20 7831 9110 WASHINGTON, DC 2550 M Street NW Washington, DC 20037 United States +1 (202) 627-6580 PROVIDENCE, RI 10 Dorrance Street, Suite 700 Providence, RI 02903 United States +1 (401) 289-0866 DALLAS, TX One Cowboys Way Suite 470 Frisco, Texas 75034 United States +1 (469) 604-0925 PARIS 44, avenue George V 75008 Paris France +33 1 74 88 05 40 CANADA 20 Place du Commerce Nuns’ Island Montreal, Quebec H3E 1Z6 Canada +1 (401) 289-0866 NEW YORK CITY, NY 434 W. 33rd Street 7th Floor New York, NY 10001 United States +1 (646) 921-1865 PHILADELPHIA, PA 727 Norristown Road Building 8 Spring House Innovation Park, Suite 206, Lower Gwynedd, PA 19002 United States +1 (267) 405-9302 STOCKHOLM 7A Centralen Vasagatan 7 111 20 Stockholm Sweden +44 (0)7747 790232 ZURICH Bahnhofstrasse 100 Zurich 8001 Switzerland PRIVACY LEGAL COOKIES MODERN SLAVERY STATEMENT SITEMAP CONTACT © 2021 The FRA group in the UK comprises Forensic Risk Alliance Limited (number 3895636) and FRA Solutions Limited (5863958). Both are limited companies registered in England & Wales, and have their registered office at 3rd Floor, Audrey House, 16-20 Ely Place, London EC1N 6SN. The term partner is used to denote senior employees of the limited companies. All rights reserved. This website uses cookies to provide you with a more responsive and personalized service. Please use the buttons to manage, accept or decline your consent. For more information, please visit ourCookie Policy Manage Cookie Settings Accept All Cookies