A Guide to Conducting Internal Investigations

Erscheinungsjahr 2021
ISBN: 978-1-5265-0608-5
Verlag: Bloomsbury 3PL

Buch, Englisch, 240 Seiten, Paperback, Format (B × H): 156 mm x 234 mm, Gewicht: 365 g

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.

Autoren/Hrsg.

McQuitty, Jake

Fachgebiete

• Rechtswissenschaften Ausländisches Recht Common Law (UK, USA, Australien u.a.)
• Wirtschaftswissenschaften Finanzsektor & Finanzdienstleistungen Bankwirtschaft
• Rechtswissenschaften Wirtschaftsrecht Bank- und Versicherungsrecht Bank-, Sparkassen- und Börsenrecht
• Wirtschaftswissenschaften Finanzsektor & Finanzdienstleistungen Finanzsektor & Finanzdienstleistungen: Allgemeines
• Wirtschaftswissenschaften Betriebswirtschaft Management Compliance

Inhaltsverzeichnis

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

Über Autor(innen)

McQuitty, Jake
Jake McQuitty is a partner at Eversheds Sutherland in their Financial Services Disputes & Investigations group specialising in corporate investigations and regulatory enforcement.

Jake advises clients on a wide range of risks arising from breaches of regulatory and criminal laws, as well as assisting clients with internal investigations, remediation and response to enforcement into potential breaches of rules and regulations. Jake also advises on the application and interpretation of financial services regulations, particularly MAR, the Senior Managers regime and Conduct Rules.

Recently, Jake has acted for several global banks and international firms on a range of regulatory investigations and enforcement matters, including enquiries into the misuse of electronic trading algorithms and platforms, the fall-out from a major cyber breach of customer data, and the mis-sale of Foreign Exchange products.

Jake was formerly the Head of Investigations & Enforcement for a global bank.

Jake McQuitty leads the Investigations & Enforcement team at TLT. He has wide experience of acting for financial institutions, corporations and individuals in the UK and globally in relation to criminal and regulatory investigations, as well as conducting internal investigations on behalf of financial services clients. He also advises financial institutions on litigation and risk management issues.

Jake was formerly the Head of Investigations & Enforcement for Barclays Bank for Europe and the Middle East where he oversaw a significant portfolio of global investigations and enforcement matters in both the retail and wholesale banking businesses. These included the highly-publicised cases against Barclays in respect of benchmark fixing (Gold and FX) and client custody and assets rule breaches.

Jake has considerable experience of dealing with investigations by authorities in the UK, including the FCA, PRA, SFO, HMRC, LSE, the Metropolitan police and Ofgem, as well as dealing with central banks and other authorities around the world, including in Australia, Japan, Taiwan, Singapore, Hong Kong, India, the UAE, South Africa, the USA and various emerging markets.

Before joining Barclays, Jake spent ten years as a lawyer in the City of London acting for financial services clients in relation to commercial court litigation, regulatory investigations and large-scale customer compensation schemes.

Jake qualified as a barrister in 1998 and practised criminal and civil law at the Bar. In 2002, he was admitted as a solicitor of the Supreme Court of England & Wales and joined TLT in 2015.