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Internal investigations can be undertaken by a company or firm as a precursor to anticipated regulatory action, or for many other reasons.
This title explains what a good regulatory investigation looks like whilst guiding investigators through the myriad of issues that can arise. It also dismantles many of the preconceptions and myths which have grown up around investigations in the post-financial crisis environment.
Investigations are part of the 'business as usual' lifecycle for regulated firms. But there is no regulatory blueprint for what is accepted practice or accepted standards. This puts firms at a disadvantage with their regulators.
Providing expert guidance on every step of a regulatory investigation including who should carry out the investigation, the scoping and planning, the interviewing and witness handling, how best to cooperate with the authorities, employee conduct and performance investigations, investigating senior staff, press, PR and Corporate Comms and litigation risks
A Guide to Conducting Internal Investigations redresses the balance and provides a much needed blueprint for firms who find themselves in this position.
This is a new practical resource for all firms and individuals that may find themselves the subject of, or be asked to assist in, a regulatory investigation or enforcement action.
List of contents
1 Introduction
2 The investigation process
3 Immediate priorities
4 Governance and decision-making
5 Who should investigate?
6 Scoping and planning
7 Preserving evidence
8 Tools and techniques for reviewing digital and documentary evidence
9 Interviews and witness handling
10 Conducting an interview
11 Taking notes and asking questions
12 Documenting the work and preparing reports
13 Regulatory liaison and disclosure obligations
14 Cooperating with Authorities and Corporate Liability
15 Confidentiality and Legal Privilege
16 Employees under investigation
17 Investigating senior staff
18 Whistleblowing and raising concerns
19 Press, PR and Corporate Communications strategy
20 Customer complaints, the Financial Ombudsman Service and litigation risk
About the author
Jake McQuitty
Summary
Internal investigations can be undertaken by a company or firm as a precursor to anticipated regulatory action, or for many other reasons.
This title explains what a good regulatory investigation looks like whilst guiding investigators through the myriad of issues that can arise. It also dismantles many of the preconceptions and myths which have grown up around investigations in the post-financial crisis environment.
Investigations are part of the 'business as usual' lifecycle for regulated firms. But there is no regulatory blueprint for what is accepted practice or accepted standards. This puts firms at a disadvantage with their regulators.
Providing expert guidance on every step of a regulatory investigation including who should carry out the investigation, the scoping and planning, the interviewing and witness handling, how best to cooperate with the authorities, employee conduct and performance investigations, investigating senior staff, press, PR and Corporate Comms and litigation risks A Guide to Conducting Internal Investigations redresses the balance and provides a much needed blueprint for firms who find themselves in this position.
This is a new practical resource for all firms and individuals that may find themselves the subject of, or be asked to assist in, a regulatory investigation or enforcement action.
This title is included in Bloomsbury Professional's Company and Commercial Law online service.
Foreword
Provides best practices and guidance for those conducting or overseeing regulatory investigations and enforcement, including Boards, General Counsel and Corporate Executives in both the UK and the US.
Additional text
The book is as useful for claimant as for employer practitioners...If you are reviewing an organisation’s employment policies and procedures, this guide is worth reading just to get that holistic perspective. In terms of governance, in particular for local authority statutory officers, it should be recommended reading.
