Guide to Conducting Internal Investigations [Pehme köide]

  • Formaat: Paperback / softback, 304 pages, kõrgus x laius: 248x156 mm
  • Ilmumisaeg: 31-Dec-2019
  • Kirjastus: Bloomsbury Professional
  • ISBN-10: 1526506084
  • ISBN-13: 9781526506085
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  • Formaat: Paperback / softback, 304 pages, kõrgus x laius: 248x156 mm
  • Ilmumisaeg: 31-Dec-2019
  • Kirjastus: Bloomsbury Professional
  • ISBN-10: 1526506084
  • ISBN-13: 9781526506085
An internal investigations can be undertaken by a company or firm as a precursor to anticipated regulatory action, or for many other reasons. A Guide to Conducting Internal Investigations 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. A Guide to Conducting Internal Investigations 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.

Muu info

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.
Chapter 1: Introduction The increasing importance of internal investigations Corporate criminal liability Double jeopardy
Chapter 2: Investigation Process Purpose and overall approach The stages of an investigation Sources and triggers for investigation Considerations for investigations triggered by external events (overview)
Chapter 3: Immediate Priorities Where the behaviour is on-going Identifying relevant internal stakeholders Notifying internal stakeholders and maintaining confidentiality Making notifications to external stakeholders Managing communications risk Mitigating risks associated with management reporting Document hold notices Directors and Officers liability insurance
Chapter 4: Governance and Decision Making Independence and objectivity Ensuring appropriate levels of authority and accountability Investigation governance vs corporate governance - differences and overlaps Selecting decision-makers Identifying the client and managing legal privilege Timing for establishing governance Assessing if an internal investigation is necessary Responsibility for remedial actions and response to investigation findings
Chapter 5: Who should Investigate? Assessing independence Establishing requisite expertise Identifying and utilising internal expertise Considerations for using external expertise The relevance of being independently regulated The relevance of legal privilege to your selection of investigator Determining whether and when specific technical expertise is required
Chapter 6: Scoping and Planning The origin and extent of the authority for the investigation Reporting and decision-making Determining the terms of reference / scope of the investigation Timing and deadlines Approving the scope Monitoring and reviewing scope Requests for production of scoping document / liaison with regulators and third parties in relation to scope Planning and project management techniques Typical steps to include in investigation plan The importance of reviewing and monitoring the plan pre-execution, during investigation and post-completion
Chapter 7: Preserving Evidence General principles What evidence to preserve Dealing with different types of material Digital material on company network Digital material off network Hard copy documents Considerations around personal property and privacy Documents located abroad Key considerations when reviewing digital and documentary evidence
Chapter 8: Forensic Accounting Skills in Investigations Preservation, mitigation and stabilisation Violation of internal controls Forensic data analysis Analysis of financial data Analysis of non-financial records Use of external data in an investigation Review of supporting documents Tracing assets
Chapter 9: Interviews and Witness Handling The purpose of witness interviews Who to interview Categories of interviewee / types of interview Use of preliminary interviews Use of "document interviews" Deciding whether authorities should be consulted Providing details of the interviews to the authorities Identifying witnesses and the order of interviews When to interview and in what order Location of interview Planning for an interview Attendees at interview (other than interviewer) Conducting the interview: Employee cooperation Employee amnesty and privilege against self-incrimination Interview by the firm's lawyers vs law enforcement agency Considerations when interviewing former employees Handling whistleblowers and risk of whistleblowing in interviews Considerations when interviewing employees abroad Post-interview considerations
Chapter 10: Documenting the Work and Preparing Reports Preparing and using chronologies and dramatis personae Documenting the investigation's findings A suggested practical structure to use when preparing investigation reports Project management documentation and other miscellaneous documents generated by investigators Security of documents generated Team communications Documents prepared and held by third parties Retention of records
Chapter 11: Disclosure and Regulatory Liaison (Financial Services only) Initial disclosure of concerns to the Regulators Suspicious Activity Reporting Ongoing liaison with the Regulators Provision of underlying evidence to the Regulatory Providing records of witness interviews and investigation reports Whether to include opinions of liability or regulatory breach Considerations for privileged / protected materials Concurrent investigations by a Regulator and impact on the firm's investigation The importance of monitoring risk during an investigation the significance of appropriate and proactive remediation in response to investigation findings
Chapter 12: Cooperating with Authorities and Corporate Liability When and whether to cooperate with authorities The status of the firm / corporate and other initial considerations Corporate liability for employee conduct The different forms of cooperation and alternative options Advantages, rewards and risks of cooperation
Chapter 13: Multi-agency and Cross-border Investigations Considerations for multi-jurisdictional investigations Strategies for dealing with multiple authorities Individuals in cross-border investigations - extradition Asset seizures, forfeiture and recovery Interviewing individuals in cross-border investigations Effect of varying privilege laws across jurisdictions Evidentiary issues
Chapter 14: Privilege Legal professional privilege - general principles Identifying the client Legal advice privilege Litigation privilege Common interest privilege Without prejudice privilege Exceptions to privilege Loss of privilege and waiver Maintaining privilege - practical considerations
Chapter 15: Employees under Investigation Contractual and statutory employee rights Risks associated with disciplinary process and hearings Suspension of employee and other options Freezing deferred awards Employee protection in internal versus external investigations Representation Indemnification and insurance coverage Privilege concerns for employees and other individuals
Chapter 16: Employee Conduct and Performance Investigations Exercising malus Clawback - general principles Corporate governance and decision-making Reporting outcomes and internal record-keeping
Chapter 17: Investigating Senior Staff Key considerations when investigating senior staff Senior management involvement in and influence over investigation Relevance and impact of Senior Managers Regime on conducting investigations
Chapter 18: Whistle-blowing and Raising Concerns Assessing credibility and first steps in response to whistleblow / raising concerns Protecting the whistleblower Considerations for the interview of a whistleblower and other interviewees in whistleblowing investigation Overview of whistleblower laws and regulations in the UK and the US
Chapter 19: Press, PR and Corporate Comms Overview - general principles Communicating with employees under investigation Communicating with former employees Communicating with an employee's legal counsel Preparing a communications playbook and cascading messages Strategies for handling leaks of information Publicity and investigations Publicity and criminal proceedings Parliamentary enquiries, commissions and committees The Listing Rules and obligation to disclose
Chapter 20: Customer Complaints, the Financial Ombudsman Service and Litigation Risk Managing customer complaints in an investigation context Managing litigation risk during the investigation Appendices Templates for investigators including: Example investigation plan Example scoping document Example confidentiality letter / non-disclosure agreement Example document preservation / hold notice Example interview outline Example investigation report outline
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.

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