Whether facing regulatory scrutiny, navigating an investigation, or proactively managing emerging risks and evolving regulatory obligations, your company needs effective, risk-based safeguards to stay ahead.

At AlixPartners, we take a modern, data-driven approach to supporting firms on governance, risk, and regulatory compliance, including in the area of market conduct – helping businesses operate ethically, strategically, and sustainably. We work at the intersection of big data, advanced technology, and risk management, enabling firms to navigate today’s complex regulatory landscape with confidence.

We specialize in rapid risk reduction, designing and operationalizing risk and compliance programs, assuming interim compliance officer roles, and acting as independent compliance consultants and monitors. Our practical, technology-enabled solutions help firms strengthen controls, minimize risk, and embed a culture of ethical decision-making.

With deep regulatory expertise and cutting-edge digital analytics, our team helps organizations assess, enhance, and future-proof their compliance frameworks – ensuring robust, data-led controls that keep pace with fast-moving regulations and technological advancements.

Cornerstone Research provides economic and financial consulting and expert testimony in all phases of complex disputes and regulatory investigations. The firm works with an extensive network of prominent academics and industry practitioners to identify the best-qualified expert for each assignment. With a reputation for high quality and effectiveness, Cornerstone Research has consistently delivered rigorous, state-of-the-art analysis since 1989. The firm has more than 1,000 professionals in nine offices across the United States, UK, and EU.

Clifford Chance’s market-leading disputes and enforcement practice advises on a wide range of market abuse and market conduct issues around the world. Their work includes:

• Advising firms and individuals subject to enforcement investigations and regulatory or criminal proceedings
• Conducting internal investigations
• Reviewing and advising on systems and controls, including policies, procedures and surveillance
• Litigation arising from alleged market misconduct.

The firm has exceptional depth of experience with many partners and associates having spent time working within prosecutors or regulators dealing with market conduct issues.

Unique among the major international law firms, Clifford Chance has a specialist forensic team (comprising of experienced accountants and forensic technologists) based in London and New York. The team is experienced in analysing and investigating conduct issues in various financial markets (public markets, over-the-counter and digital asset markets), and involving various commodities and financial products (equities, derivatives, forex, UK Gilts, crypto currencies).  The Forensic team utilises a suite of forensic and data analysis tools (MS SQL server / MySQL) and data visualisation tools (Tableau, i2, PowerBI) to robustly analyse and visualize complex datasets. The Forensic team can also work alongside expert witnesses and third-party consultants.

NICE Actimize is the largest and broadest provider of financial crime, risk and compliance solutions for regional and global financial institutions, as well as government regulators. Consistently ranked as number one in the space, NICE Actimize’s innovative technology protects institutions and safeguards consumers’ and investors’ assets by identifying financial crime, preventing fraud, detecting misconduct, and ensuring regulatory compliance. Our solutions for real-time, cross-channel fraud prevention, anti-money laundering detection, and trading surveillance address issues such as payment fraud, cybercrime, sanctions monitoring, market abuse, customer due diligence and insider trading.

NICE Actimize’s SURVEIL-X Holistic Conduct Surveillance offers unparalleled risk coverage for online brokers, buy-side and sell-side firms, insurance companies, crypto exchanges, regulators and more by enabling accurate detection and rapid, thorough investigation of market abuse, inappropriate sales practices, conduct risk and more.

Kaizen are regulatory and data specialists on a mission to revolutionise compliance and make it easier for financial firms to work with regulation.  

By combining regulatory expertise with advanced technology, we’ve developed our award-winning automated solutions for trade and transaction reporting assurance, research and surveillance, shareholding disclosure and our Single Rulebook digital platform.

Kaizen exists to help our clients reduce costs, improve data quality and meet their compliance obligations.