Click here to watch the video.

Our latest video in the Managing Investigations: Planning, Pressures and Pitfalls series is now available to watch on-demand on

This video explores some of the key considerations for internal investigations in The Regulated Financial Services Sector. Drawing on their extensive experience in the sector, speakers share their top tips to avoid regulatory scrutiny, as well as discussing self-reporting obligations; engaging with regulators on scope; and accountability for individuals.

With increased internal reporting of concerns within businesses and with complex regulatory, criminal and HR investigations becoming more commonplace, corporates need an increasingly robust and considered approach to investigations to manage legal and reputational risk.

This series addresses some of the common issues corporates encounter when facing an investigation. Topics covered to date include:

  • Episode 1 - The first 24 hours - starting on the right foot

  • Episode 2 - Reporting to Regulators and Authorities

  • Episode 3 - Witness Interviews

  • Episode 4 - Privilege

  • Episode 5 - Whistleblowing

  • Episode 6 – HR & Employment Issues

  • Episode 7 – GDPR and Data Privacy