SEC & Other Regulatory Investigations

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SEC & Other Regulatory Investigations 2017-12-08T15:31:20+00:00

When it comes to financial reporting, corporate compliance, and internal control questions, Artifice stands ready to assist reporting companies and their counsel with response and reaction to regulatory enforcement investigations.

Companies subject to oversight from the Securities and Exchange Commission (SEC), Commodities Futures Trading Commission and other federal regulators require focused, experienced support when subject to an investigation. We deliver a high level of complex accounting expertise combined with years of practical investigative experience that helps executives understand the potential ramifications of the regulatory action.

Artifice’s combination of practical and proven traditional investigative experience, advanced forensic accounting techniques and complex accounting expertise can help executives explain to authorities why a course of action was based on a poor business decision and not fraud. The key differentiator between the two is the knowledge and intent of those making the decisions leading to the actions at issue.

In many cases, “smoking guns” don’t exist. The choice that regulators make between fraud and honest mistakes must be based on the relevant circumstantial evidence. Artifice can provide an expert, objective, well-rounded perspective on this evidence. We help executives identify other factors that government investigators, regulators and prosecutors may consider in their evaluation of the circumstantial evidence.

Artifice has a straightforward, focused approach. We listen as executives detail their problems, then we clarify their expectations and, based on our extensive experience in such matters, explain clearly how we can help. Our clients’ problems are our primary concern and receive our full attention.

Artifice’s work as an independent corporate monitor gives us keen insight into the expectations of government regulators and enforcers. To some extent, they base their determinations of corporate liability on the quality of a subject’s internal controls and corporate compliance programs. Our experience as a monitor helps us focus our investigations and resulting recommendations on the issues that pose the greatest risk to our clients. With the SEC’s focus on deferred prosecution agreements, that risk is increased for companies and their executives.

Artifice works to provide clients with the pertinent facts necessary to assess and develop a strategic approach to efficiently and effectively resolve their regulatory investigations or inquires.

Our experience includes, but is not limited to, investigations of:

  You need a firm that can that can provide you and your counsel with a clearly
thought out response to regulatory enforcement investigations. Contact us today
and let us put our accounting and investigative experience to work for you.