Expert Witness

All institutions are required to have their AML (Anti-Money Laundering) compliance programs independently reviewed. Our AML Independent Testing service can help small- to medium- sized businesses who may not have the personnel to focus on AML compliance. We can also help larger organizations who are struggling to keep up with the latest industry practices and compliance requirements.

Our Broker/Dealer Compliance Consulting service can offer numerous benefits for your investment firm, including: fresh insights on risk prevention, finding unintentional errors and violations, saving you money from hiring an in-house chief compliance officer, and avoiding costly penalties – millions and sometimes billions – that result in losses for your firm and your clients.

Fraud happens in two ways: intentionally altering the numbers in the books, or – more commonly – theft. Our Fraud Auditing service can assess your business or organization’s risk by observing the controls in place, inspecting documents, and asking the right questions. We’ll review your accounting system to see if fraud prevention procedures are in place and operating properly.