In today’s business climate, there is increased
demand by auditors, compliance departments and board of directors for qualified
investigative capability and specialization. The need to preempt or respond to government
or regulatory investigations amplifies this demand. Famous whistleblowers like Sherron Watkins of
Enron have provided the precedent for employees to come forward with
allegations of corporate misconduct. As companies improve their compliance
programs, more allegations of misconduct surface. In addition, the ability to anonymously
report possible wrongdoing is mandated for publicly traded companies by
Sarbanes-Oxley.
UHY Advisors
has established an elite team comprised of legal and financial professionals that
specializes in resolving allegations of wrongdoing. We have conducted numerous
investigations strategically tailored to uncover and report on unethical,
immoral or illegal acts within an entity utilizing:
- Reviews of Internal Financial Controls & Procedures
- Forensic Data Recovery
- Financial Reconciliations
- Employee & Vendor Interviews
- Background Investigations
We conduct each
investigation within the parameters prescribed by law and are careful to remain
impartial, use discretion and maintain confidentiality.
We typically
assist our clients with establishing the necessary and proper internal controls
and with the formulation of compliance programs. We will work with outside
counsel to provide critical protection if a corporation is under investigation
and/or subject to potential criminal penalties or sanctions.
UHY Advisors’ multitude
of internal investigations includes:
- Embezzlement & Fraud
- Whistleblower Allegations
- Financial Reporting Fraud & Misrepresentation
- IP & Trade Secret Theft
- Employee & Vendor Kickback Schemes
- Breach of Non-Compete Agreements
- Insurance Fraud
- Employee Misconduct
- FCPA Investigations
- SEC, Trading & Backdating Inquiries