Regulatory Expert Witness Services

Regulatory Expert Witness Services

An advisory network was being sued by a customer who claimed it had neglected its duties in supervising an Adviser who had fraudulently stolen funds which he claimed were being invested in an offshore pension scheme.

Enterprise Learning was engaged to act as independent Expert Witness, reporting on the regulatory requirements in place at the time and reviewing the supervisory policy, procedure and practice of the firm to support the legal process in determining any negligence.

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