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Internal Investigations—Corporates

Whether regulated or not, businesses in any industry are under pressure and expected to launch speedy and independent investigations into operational failings, regulatory misconduct, financial crime, as well as employee conduct, culture and management style – from top to bottom.

Internal investigations are often triggered by a whistleblowing or speak up report, internal audit concerns, suspected criminal conduct or operational or IT failings. Whilst an investigation is essentially a fact finding exercise, sensitive events and serious ramifications can flow from its findings.

As our client, we will help you navigate the process of an internal investigation. You can tell us what it is you want to achieve from the investigation and what help you need, and we can assist you with all aspects of the planning and scope of the investigation for you. Alternatively we can manage the entire process for you, including data collection and analysis, interviews and reporting. We can run an investigation from start to finish or can assist you with discrete aspects or high level oversight.

Our aim is to remediate issues with a proportionate and measured approach, bespoke to your organisation and objectives. Were necessary we can advise on, notify and engage in dialogue with regulators and other agencies, for example the police, Serious Fraud Office or FCA/PRA.

Together with our employment lawyers, we can advise you from an individual’s perspective depending on what employment, HR or cultural challenges arise from an investigation. That advice may include diversity and inclusion best practices, training, policy and procedure review, and employee disciplinary, grievance and performance issues.

Our Experience

  • Advised global institution in-house on internal investigations relating to operational resilience, significant trading events and non-financial misconduct eg bullying, management style, and related HR and regulatory implications.

  • Acted for UAE based international distributor subject to internal investigation and compliance review relating to facilitation payments and bribes in CIS region by US listed security equipment manufacturer.

  • Scoping and planning internal investigations for FCA authorised firms.

  • Conducted an internal investigation and advised a UK regulated solicitors’ firm and its managing partner as to potential SRA rule breaches committed by the firm as well as possible criminal offences.

  • Conducted an internal investigation and advised the CEO of a Greek shipping company (with UK subsidiaries) as to potential criminal offences committed under the Bribery Act 2010.

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