A Guide to Conducting Internal Investigations
Autor Jake McQuittyen Limba Engleză Paperback – 11 feb 2021
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Specificații
ISBN-13: 9781526506085
ISBN-10: 1526506084
Pagini: 240
Dimensiuni: 156 x 234 mm
Greutate: 1 kg
Editura: Bloomsbury Publishing
Colecția Bloomsbury Professional
Locul publicării:London, United Kingdom
ISBN-10: 1526506084
Pagini: 240
Dimensiuni: 156 x 234 mm
Greutate: 1 kg
Editura: Bloomsbury Publishing
Colecția Bloomsbury Professional
Locul publicării:London, United Kingdom
Caracteristici
Authoritative authors with a wealth of experience of both conducting internal regulatory investigations on behalf of the FCA and financial servicess clients as well as acting for financial institutions, corporations and individuals in the UK and globally in relation to criminal and regulatory investigations.
Notă biografică
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.
Cuprins
1 Introduction2 The investigation process3 Immediate priorities4 Governance and decision-making5 Who should investigate?6 Scoping and planning7 Preserving evidence8 Tools and techniques for reviewing digital and documentary evidence9 Interviews and witness handling10 Conducting an interview11 Taking notes and asking questions12 Documenting the work and preparing reports13 Regulatory liaison and disclosure obligations14 Cooperating with Authorities and Corporate Liability15 Confidentiality and Legal Privilege16 Employees under investigation17 Investigating senior staff18 Whistleblowing and raising concerns19 Press, PR and Corporate Communications strategy20 Customer complaints, the Financial Ombudsman Service and litigation risk
Recenzii
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.
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.
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.