Strategy

Strategy

Strategy

Triage. Getting it right at the beginning is crucial to the eventual outcome of any investigation. From retaining data to dealing with potential witnesses, it is all too easy to overlook something important in the period straight after a potential problem surfaces – particularly if you are working to tight deadlines. This section contains our checklist to enable you to start off on the right foot.

  • Print
  • Download
  • Close

1.1

Immediate action points


Planning +<br/>Preparation

Planning +
Preparation

Planning +<br/>Preparation

Once any immediate issues have been dealt with, it's important to step back and scope the investigation from start to finish. Of course, things never turn out as you expect, but good project management is essential to ensure that investigations stay on track and meet senior managers' and regulators' expectations. This section covers the key considerations when it comes to planning what will happen next. 

  • Print
  • Download
  • Close

2.1

Planning and scoping

2.2

Jurisdiction and powers of regulators

2.3

Duties to self-report


Implementation

Implementation

Implementation

Now comes the hard part: reviewing documents and data, interviewing witnesses and reporting to the authorities. Our experience on investigations of all shapes and sizes has equipped us to identify common pitfalls. This section tells you how to avoid them.

  • Print
  • Download
  • Close

3.1

Document collation and review

3.2

Restrictions on use of information by regulators

3.3

Barriers to disclosure of information

3.4

Privilege

3.5

Interviewing witnesses

3.6

Employment issues

3.7

Experts


Resolution

Resolution

Resolution

Getting to the bottom of the facts is one thing, persuading the authorities and negotiating a fair resolution can be quite another. You also need to keep a close eye on the consequences in terms of your clients, the general public and third party claimants. This section addresses the end game in any investigation, recognising that any settlement with the authorities is very often only the beginning of the end.

  • Print
  • Download
  • Close

4.1

Remedies and penalties

4.2

Follow-up and remediation

4.3

Reporting and future-proofing