CapMarket Consulting's depth of experience with internal policies and guidelines, as well as industry and regulatory practices have proven useful in numerous litigations.

Our industry experience gives us a unique strategic advantage in dealing with litigations that involve breakdowns in the "Management Oversight and Internal Controls" at Financial Institutions. Often a critical fact in litigation is establishing that the institution did not abide by its own internal guidelines as well as industry practices.

Management oversight and internal control are the tools banks and investment banks use to ensure that they operate and undertake financial transactions appropriately. For the financial service industry, effective management and oversight involves identifying, assessing, monitoring, and controlling risks associated with a institution’s activities. Banks and investment banks comply with three basic control infrastructures:

• Internal Control Practices
• Industry Standard Practices
• Regulatory Requirements

In securities and capital markets litigation, often discovering and establishing the required internal controls of the financial institution can provide critical information to the case. Whether a bank or investment bank did or did not abide by its own internal guidelines and/or industry practices can be an important fact to the court and/or jury.