Working closely with the Legal, Security, Audit, Human Resources, and other departments, CRI experts compile timely and accurate reports of possible insider abuse, insider trading, abuse of position, and conflict of interest. This work is done with careful attention to the needs of law enforcement, local employment law and privacy regulations, and the client’s policies and procedures.

• Example: A senior officer of a major financial services firm was suspected of running a business competing with his own profit center. Subordinates felt pressured to do personal work on company time. CRI staff investigated the employee, analyzed the conduct, and performed field investigations of the employee’s side business. When confronted with the evidence gathered by CRI, the employee was terminated without dispute, avoiding financial loss, litigation, or other consequences.
• Example: A potential Board Member was vetted by CRI for outside business interests. Among the findings, CRI staff discovered suspicious stock trading (selling shares shortly before negative surprise announcements) by the director while serving as an executive of an earlier company, suggesting possible illegal or unethical insider trading. The client decided to choose another candidate for the Board of Directors.

Services Offered

CRI Consulting Services

CRI’s SAR Expertise

Independent Investigations

Multi-Jurisdictional Investigations

Employee and Director Investigation

Reports to the Audit Committee

Hedge Fund Compliance Consulting