Internal Investigations & Regulatory Compliance

Independent internal investigations are a critical piece of regulatory compliance efforts at domestic and multinational companies. Investigations can (and should) be done to enhance internal compliance and ethics policies, as well as to examine potential violations of criminal and civil codes.

Whether a company is facing allegations of malfeasance, potential civil or criminal actions, or accusations related to violations of regulatory codes, independent expertise is critical. Not only is Sequence Inc. skilled in high-stakes investigations, the company rarely encounters conflicts of interests in its work. Because we are so small and our work is so focused, you can be assured that we have no conflicts related to continuing audit engagements, ongoing legal work, or other client relationships which interfere with our independence.

Sequence Inc. provides independent guidance in internally and externally initiated investigations, securities litigation, corporate governance, regulatory compliance, business intelligence and financial reporting. Specifically, we provide guidance on critical regulatory compliance issues such as SEC examinations and SEC enforcement actions, Foreign Corrupt Practices Act (FCPA), antitrust violations, anti-money laundering (AML), Sarbanes-Oxley (SOX), and audit committee investigations.

Tracy Coenen’s forensic accounting and fraud investigation experience serves as the foundation to provide comprehensive services to clients to reconstruct financial data, investigate allegations of misconduct, gather evidence in response to regulatory inquiries and actions, and report the findings to management, boards of directors, regulators, judges, and juries.

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