Forensics, Investigations & Compliance

A&K has a dedicated Forensics, Investigations & Compliance team that combines legal, accounting, economic, investigative and technology skillsets to provide an end-to-end solution for both private and public sector clients. We support local and international clients to help them mitigate risk and achieve the highest level of transparency and integrity, leveraging our access to the best legal minds working in relevant practice areas within the firm to ensure we offer best-in-class legal support. In conjunction with our Dispute Resolution team, we are able to provide services at all stages of an investigation, including dawn raids, amnesty applications, compliance and defence strategy, negotiations with the authorities and damages assessment.

The Forensics, Investigations & Compliance team can also assess, design and help implement processes, controls and compliance programmes that mitigate the risk of financial crime, including fraud, bribery and corruption, money laundering and terrorist financing, anti-trust and misconduct. Our comprehensive compliance programmes focus on governance and risk assessments, as well as building practical and strategic controls around prevention, detection and deterrence. We also assist businesses to holistically and effectively manage the costs and risks of regulatory compliance and potential enforcement activity.

Our services can be categorised under four focus areas:

Forensic Investigations

Our team works closely with clients to understand their investigation objectives. We use a coordinated approach and leverage appropriate resources while working on an assignment so as to respond quickly to allegations of financial crime, misconduct and/or non-compliance.

Corporate Intelligence

We assist clients to make informed decisions through the identification of indicators and red flags by gathering and interpreting corporate intelligence to avoid costly mistakes, regulatory sanctions and reputational damage to the organisation and its stakeholders.

Forensic Advisory and Compliance

We assist clients to proactively manage the risk of financial crime and non-compliance with regulations in a holistic, cost effective and sustainable manner. Our methodologies are tailored to help build and maintain responsive and effective risk management frameworks.

Forensic Technology Services

We assist organisations to rapidly respond to data needs in disputes, investigations, regulatory and internal reviews. During an eDiscovery process, we identify, collect, process and produce electronically stored information in a manner admissible as evidence in court, tribunal, arbitration or other proceedings.

Representative matters* include:

  1. Acting for a mid-tier bank in East Africa in connection with a special investigation into allegations of impropriety made in a whistle-blower report.
  2. Acting for a leading insurance firm in East Africa in connection with a forensic investigation of its broker on boarding and commission payment process, including the assessment of the adequacy of internal controls and establishing whether there was an infringement of the UK Anti-Bribery and Corruption Act and the Foreign Corrupt Practices Act.
  3. Acting for a leading African airline operator in connection with a forensic audit to evaluate its system of internal controls, including a review of financial systems and statements, quantification and assessment of loss and reporting, digital forensics and advising on strengthening the corporate governance and internal control environment.
  4. Acting for a public-sector retirement benefits scheme in East Africa in connection with a land acquisition transaction by a public sector sponsored Retirement Benefits Scheme, including reviewing the scheme’s land acquisition process, legal documentation, land pricing, reports of the advisors to the Trustees and the preparation of a comprehensive report.
  5. Acting for a listed manufacturing company in Kenya in connection with a fraud risk management strategy and framework review, including the alignment of their current structure to industry best practise, identification of business processes most vulnerable to internal and external fraud, an assessment of internal controls, the development of a plan to mitigate vulnerabilities where gaps were identified and to improve communication and awareness about fraud across the organisation.
  6. Acting for a Pan-African insurance firm in connection with a financial crime framework assessment for Anti-Money Laundering & Combating Financing of Terrorism (AML/CFT), including a review of AML/CFT process flow, customer on-boarding, due diligence, customer screening, transaction and activity monitoring, Cash Threshold Reporting and Suspicious Transaction/Activity Reporting, and training on culture and awareness covering strategy, oversight, governance and compliance.
  7. Advising an international bank based in East Africa in connection with a due diligence review of the transaction processing of their target firm, including a comprehensive review of the target’s Anti-Bribery and Corruption policy, the AML/CFT framework and compliance with the Foreign Account Tax Compliance Act, the scope of the due diligence elements under review and the end-to-end Financial Crime processes and procedures.
  8. Advising a leading oil company with presence in Kenya and Uganda in connection with a forensic audit conducted over stock discrepancies, including a detailed analysis of the affected stocks, a quantification exercise to determine the resultant financial loss incurred, an assessment of the internal controls to establish any weaknesses that had been exploited and providing recommendations to remediate control gaps.
  9. Acting for a large UK insurance company in connection with the implementation of a group-wide Anti-Bribery Corruption programme, including the assessment of “ABC readiness” across all service lines and countries to establish compliance with the new UK Bribery Act (2010).
  10. Acting for a distributor of a leading US mining company to conduct a FCPA review, including the general assessment of the processes at various operations in Africa and detailed transaction testing and assessments on all the high risk countries and business areas.

*Matters predate joining A&K

A&K Forensics LLP (registration number LLP-QQ1QXM) is a partnership registered with limited liability in Kenya, under the provisions of the Limited Liability Partnership Act, 2011.