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Our investigations team have in excess of 20 years’ experience in carrying out regulatory investigations for a diverse range of clients including financial institutions, professional bodies, regulators and other statutory bodies.
Examples of regulatory investigations include alleged breaches of anti-money laundering (AML) procedures, codes of conduct, CBI regulations, data protection legislation and health and safety regulations.
Our objective in such assignments is to deliver outcomes in an efficient manner, minimising cost and risk while ensuring a legally robust process.
The multi-disciplinary nature of our team combined with our robust investigation methodology enables us to authoritatively investigate a spectrum of regulatory matters. We have an established track record in conducting effective investigations into suspected breaches of regulations or procedures both financial and non-financial in nature.
In addition to our core team we have the ability to co-investigate issues requiring specialist expertise with appropriate experts in order to ensure the integrity of our findings.
We have been engaged by numerous regulatory bodies including the Revenue Commissioners, the Office of the Director of Corporate Enforcement (ODCE), the Department of Enterprise Trade and Employment to carry out investigations into various regulatory breaches.
Case studies
Anti-money laundering internal investigation
We undertook an investigation into breaches of anti-money laundering and cash handling procedures at a financial institution following a protected disclosure from a whistleblower. We worked closely with colleagues in Risk Advisory Services to provide a number of recommendations to the client to strengthen existing policies and procedures.
Alleged instance of cheque fraud
A large charity engaged us to investigate an alleged instance of cheque fraud. Following appointment our team identified in excess of 30 further instances over a 5 year period and assisted the client in negotiating a settlement involving the repayment of an agreed sum and the resignation of the employee involved.
Investigation into breaches of statement of insolvency practice
RSM Ireland were appointed by the creditors of an insolvent entity to investigate breaches of Statements of Insolvency Practice by a Liquidator. Investigation resulted in the repayment of significant sums drawn from the Liquidation by the former Liquidator and reporting of matters to Chartered Accountants Regulatory Board and the Office of the Director of Corporate Enforcement.
