Corporate Investigations
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Corporate internal investigations are at the heart of our business. We investigate fraud, accounting irregularities, embezzlement, electronic crimes, information leaks and other misconduct. Kroll conducts internal investigations discreetly and expeditiously.
How We Investigate
Our approach is comprehensive and uses the broad array of professional backgrounds and talents of our staff.
Typically an investigation unfolds as follows:
- Analyze the facts presented
- Devise the investigative strategy
- Retrieve documentary evidence,
including the recovery of electronic files - Identify and interview witnesses
- Identify and interview/confront targets
If requested, we can assemble a case file for referral to a regulator or law enforcement agency. We will also advise our client on the best procedures for preserving evidence, sanctioning employees and vendors, and negotiating with regulators and prosecutors.
Kroll is also able to offer a host of services to mitigate the damages associated with an incident. These may include advising on financial and operational business controls, such as internal data handling policies and physical security standards, and recommending procedures to safeguard against future problems.
The Kroll Advantage
Conducting internal investigations requires far more than a series of employee interviews. Evidence of wrongdoing may be found through former employees, vendors, clients and other outside parties. It also may exist in documents outside the four walls of your offices. Kroll uses a comprehensive approach to corporate investigations. Kroll case managers include lawyers with trial experience. Our investigative teams are comprised of our own investigators, who formerly served with a variety of law enforcement agencies, research analysts, forensic accountants, computer forensic technicians and other specialists. We draw on the experience of thousands of investigations over more than 30 years’ to get to the heart of a matter swiftly and more effectively than other professional firms.
Related Services:
Kroll report helps clear audit committee
Kroll was retained by outside counsel to the Audit Committee of a publicly traded financial institution. The institution was notified by a regulator that it was investigating the institution’s relationship with its outside audit firm for potential violations of auditor independence rules under Sarbanes Oxley. Kroll conducted a four month investigation into the relationship, including interviewing dozens of current and former employees of the financial institution and the outside audit firm, as well as senior-level management of both entities. Kroll reviewed thousands of pages of potentially relevant documents, submitting its final report to counsel for the Audit Committee which in turn presented the findings to the regulator. The regulator then decided to forego its own investigation.
Internal investigation leads to ‘SARs’ recommendations
Kroll conducted an internal inquiry on behalf of a major financial institution to understand the circumstances surrounding unreported Suspicious Activity Report filings (“SARs”). Kroll’s examination involved a reconciliation of thousands of potentially reportable incidents and recommendations on whether or not to file SARs in the questioned circumstances. Kroll also made recommendations on restructuring the institution’s anti-money laundering and corporate security departments to more effectively monitor and investigate potential money laundering activity.
Kroll report aids successful charity fraud conviction
Hale House, a New York City charity for children founded by Clara Hale in the 1970s, faced damaging allegations of corruption and internal fraud. Kroll was brought in by a newly-appointed, independent board of directors to investigate the president of the charity and her husband on charges of embezzling over one million dollars from the nationally known organization. Kroll’s publicly-released report provided evidence of the pair’s misconduct and the mismanagement of the charity’s funds, ultimately aiding the New York State Attorney General’s office in its prosecution and conviction of the subjects.
Read more Kroll case studies.
To discuss how we can help your organization, please contact one of our regional directors or find your nearest Kroll office.
| Bob Brenner Americas |
+1 212 833 3334 | |
| William Keevan North America |
+1 703 796 2840 | |
| Brian Stapleton Europe/Middle East/Africa |
+44 207 029 5126 | |
| Tad Kageyama Asia |
+852 2884 7725 | |
| Andrés Otero Latin America |
+1 305 789 7100 |
