Corporate and regulatory investigations

Overview

We regularly conduct investigations and prepare reports in the context of a wide range of regulated business sectors. Our experience encompasses domestic, cross-border and multiple jurisdiction assignments.

We undertake a range of investigations, which can, broadly, be categorised into:

  • internal investigations, reporting to our client alone;
  • investigations for our client, but reporting to both client and regulator or other government agency on a "voluntary" basis;
  • statutory "skilled person" investigations and reports under Section 166 of the Financial Services and Markets Act 2000; and
  • post-implementation reviews.

We prepare reports that are clear, balanced, rigorous and proportionate; and that are designed to stand up robustly to regulatory scrutiny. Crucially, our reports will contain recommendations which are practical and operationally workable.

We have an excellent track-record of achieving a successful outcome for our clients - in practice, this has often meant avoiding any [further] regulatory action, by helping the regulator to "close the file" on the matter.

Through our numerous successful investigatory assignments, we have gained the essential trust and confidence of the regulatory authorities - an absolute pre-requisite in this area.

Recognition

  • "May I just say that this [report] is an excellent piece of work."

    Director, FTSE 250 company

  • "A terrific result - beyond our expectations."

    Chief Compliance Officer, Stockbroking firm

  • "An outstanding job."

    Partner at private equity firm