A Guide to Conducting Internal Investigations

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...