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A Guide to Conducting Internal Investigations

A Guide to Conducting Internal Investigations

  • Author:
  • Publisher: Bloomsbury Professional (formerly Tottel Publishing)
  • ISBN: 9781526506085
  • Published In: February 2021
  • Format: Paperback , 240 pages
  • Jurisdiction: U.K. ? Disclaimer:
    Countri(es) stated herein are used as reference only

List Price: HKD 1,040.00

HKD 1,008.80 Save HKD 31.20 (3%)

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  • Description 
  • Contents 
  • Details

    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.

  • 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

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