A Guide to Conducting Internal Investigations

Mr Jake McQuitty

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Paperback

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English

Bloomsbury Professional
12 February 2021

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.

By: Mr Jake McQuitty
Imprint: Bloomsbury Professional
Country of Publication: United Kingdom
Dimensions: Height: 234mm, Width: 156mm,
Weight: 380g
ISBN: 9781526506085
ISBN 10: 1526506084
Pages: 240
Publication Date: 12 February 2021
Audience: Professional and scholarly , Undergraduate
Format: Paperback
Publisher's Status: Active

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

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.

Reviews for A Guide to Conducting Internal Investigations

The book will be a valuable resource for anyone responsible for setting up or carrying out an investigation. Mistakes can be costly, and can lead to both regulatory problems and media condemnation. This book will help all concerned to avoid those mistakes, and it is to be commended. * Law Society Gazette * 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. * DLA Briefings *