Financial and Capital Markets
Controversies in financial and capital markets involve lending transactions, investments, funds, derivatives and information disclosed by listed companies, with amounts that turn on precise calculation.
Industry context
Banks, asset managers, funds, investors, issuers and creditors dispute contractual charges, investment losses, the valuation of ownership interests, and the effects of inaccurate disclosures. Some of these disputes proceed in arbitration, and others fall under the supervision of regulatory bodies.
SGEx acts in this environment as a technical firm, engaged when the industry produces disputes, inquiries, reviews, losses, buyout claims, fraud, rendering-of-accounts matters or valuations that call for an independent examination.
Questions that arise in this industry
- Review of charges, balances and calculations in lending transactions.
- Quantification of investor losses.
- Valuation of ownership interests and investment portfolios.
- Analysis of financial statements of companies and funds.
- Claims in judicial reorganization and insolvency proceedings.
- Expert assistance in expert examinations and arbitrations.
How SGEx Approaches This
SGEx may examine: sGEx typically reviews financial contracts, account statements, brokerage notes, fund regulations, financial statements, material disclosures, valuation reports and market price series.
Every engagement begins by framing the technical question, continues with the organization of these sources, and ends with conclusions presented in the format the proceeding requires, with assumptions and limitations disclosed.
Possible Work and Deliverables
The format is defined according to the case, the proceeding and the purpose of the work.
- Quantification expert opinion
- Expert report
- Supporting calculation memorandum
- Review of a report
- Expert questions, technical challenges and clarifications
- Balance-sheet determination
Related Experience
Other SGEx Solutions
Services, specialties, contexts and industries connected to this topic under SGEx's relationship matrix.
Related Services
- Economic and Financial Expert AnalysisAnalysis of values, cash flows, economic assumptions and financial models in disputes and decisions that turn on quantification.
- Disputes, Litigation and ControversiesEconomic, financial and accounting expert support in judicial, arbitral, administrative and pre-litigation controversies.
- ArbitrationTechnical analysis, quantification and expert assistance in arbitral proceedings involving economic, financial and accounting issues.
- Business and Asset ValuationValuation of companies, ownership interests and assets for disputes, corporate transactions, succession matters and court proceedings.
- Accounting Expert ExaminationIndependent expert examination of accounting records, financial statements and calculations, prepared for judicial, arbitral and administrative proceedings.
- Criminal Forensic AccountingAccounting and financial examination of facts under investigation in criminal and administrative sanctioning proceedings, for those who accuse and those who defend.
- Banking Expert ServicesTechnical examination of contracts, statements and calculations in banking transactions, to determine charges, balances and amounts paid.
- Court Calculations and Accounting SupportPreparation, review and challenge of court calculations for law firms, companies and organisations, with validation technology and high-volume production.
Related Specialties
- Damages, Losses and Economic QuantificationLost profits, actual damages, lost revenue, indemnities and the liquidation of court judgments.
- Corporate Matters, Buyout Claims and ValuationValuation of a withdrawing shareholder's interest, balance-sheet determination, goodwill, business valuation and corporate disputes.
- Forensic Accounting and AuditAccounting reconstruction, tracing of financial flows, analysis of financial statements, contingencies and fraud investigation.
- Judicial Reorganization, Bankruptcy and InsolvencyPreliminary expert examination, verification and challenge of claims, asset valuation, insolvency and liquidation.
- Wealth, Family and Succession MattersAsset determination and valuation, divorce settlements, probate and estate proceedings, ownership interests and asset tracing.
- Expert Assistance to PartiesExpert assistance to parties in court-appointed expert examinations and arbitrations: framing expert questions, opinions, review of reports and attendance at proceedings.
- Administrative ProceedingsAccounting and financial expert evidence in administrative tax, sanctioning, regulatory and oversight proceedings, from the defence to the appeal stage.
- Financial Crime and Money LaunderingAccounting and financial examination of fraud, diversion and misappropriation, and of the path funds took to conceal their origin.
Related Areas of Practice
- Civil and Contract DisputesNonperformance, termination, contract revision and civil liability claims in which the controversy turns on monetary values and calculations.
- Corporate and Shareholder DisputesDisputes among shareholders, partners and officers, corporate dissolutions, buyout claims and disagreements over financial results.
- Administrative and Regulatory MattersAdministrative proceedings and regulatory disputes with an economic and financial impact on companies and concession holders.
- Mergers and AcquisitionsPurchase, sale, merger and spin-off transactions, and the price and indemnity disputes that arise from them.
- Wealth, Family and Succession MattersDivorce settlements, probate proceedings and marital disputes that call for the determination, valuation and tracing of assets.
Related Industries
- Insurance and ReinsuranceClaims, loss adjustment, reinsurance treaties and disputes among insurers, policyholders and reinsurers.
- Construction, Engineering and InfrastructureConstruction works, engineering projects and infrastructure assets subject to cost, schedule and rebalancing claims.
- Cryptocurrency and Digital AssetsCustody, movement and recordkeeping of crypto-assets in investigations, disputes and asset-tracing engagements.
Request an Analysis
Describe the technical question, the context in which it arose, and the documents available. This information lets SGEx assess the scope of the work before any proposal.