Given the importance of corporate responsibility, we understand that internal investigations should be managed swiftly and discreetly.

Our aim is to ensure that businesses quickly resolve any misconduct identified and minimise the risk of the commencement of lengthy regulatory or criminal investigations.

We work with our clients to assemble a bespoke team of leading practitioners that will respond effectively to your issue. Members of our investigations team will work together with our employment, corporate, commercial, data protection and cyber security lawyers, as appropriate, to ensure that you have all the experts you need by your side.

We also provide support to corporates following the conclusion of an internal investigation. In collaboration with your in-house legal and compliance teams as well as the relevant regulatory authorities, we advise on how to enhance and implement operational and governance frameworks to minimise the risk of further wrongdoing.

Our team regularly represents senior individuals who are either the subject of an internal investigation or who are called to assist as a potential witness. Assisting and cooperating with internal investigations is fraught with difficulties for employees and may lead to increasing the legal and regulatory risks faced by the individual. With our experience of acting for corporates, we support senior individuals in these difficult circumstances and advise on how achieve the fine balance of cooperating with your employer and protecting your own position.

Internal investigations expertise

  • Advising on the "first response" to discovery of wrongdoing (whether that is from a whistleblower, enquiry from a regulatory authority or arrest of a member of staff)
  • Assessment and analysis of the wrongdoing (from document preservation and collation through to interviewing staff)
  • Crisis management and media relations
  • Employment law issues including suspension of staff and protection of whistleblowers
  • Market announcements and liaison with the listing authorities
  • Representing individuals with internal investigation interviews and voluntary or compelled interviews with regulators or law enforcement agencies
  • Responding to requests for assistance from regulators and law enforcement agencies
  • Self-reporting and liaison with regulators and law enforcement agencies
  • Advising on the "first response" to discovery of wrongdoing (whether that is from a whistleblower, enquiry from a regulatory authority or arrest of a member of staff)
  • Assessment and analysis of the wrongdoing (from document preservation and collation through to interviewing staff)
  • Crisis management and media relations
  • Employment law issues including suspension of staff and protection of whistleblowers
  • Market announcements and liaison with the listing authorities
  • Representing individuals with internal investigation interviews and voluntary or compelled interviews with regulators or law enforcement agencies
  • Responding to requests for assistance from regulators and law enforcement agencies
  • Self-reporting and liaison with regulators and law enforcement agencies

Internal investigations experience

  • Lead an internal investigation in a listed corporate following the discovery of wide scale fraud and potential mis-treatment of accounts. This investigation involved liaison with the City of London police as well as regulatory authorities.

  • Acted for a a large retail brokerage firm which was the subject of an FCA and police investigation in relation to allegations of bribery and money laundering by a trader.

  • Acted for a brokerage and investment banking firm in an investigation following allegations of unprofessional and unethical behaviour by a group of senior employees.

  • Acted for a multinational corporation in an investigation following one of its journalists being charged and subsequently convicted of conspiracy to pervert the course of justice.

  • Acted for a number of senior executives (including those who are Senior Managers, Certified Staff or Approved Persons in regulated firms) who are the subject of internal investigations or who have been called to assist as primary witnesses.

  • Represented current and former senior executives of a retail bank participating in a high profile independent review being conducted by a High Court judge.

  • Advised a listed corporate in relation to its obligations following the discovery of discrepancies in its financial statements.

  • Acted for a brokerage firm in an investigation and assessment of its money laundering systems and controls following concerns raised by the FCA.

"James Carlton has a very wise head; he continually demonstrates an encyclopaedic knowledge of the pitfalls of internal investigations and is incredibly astute in achieving the best possible result for his clients."


Legal 500 2020

"Sona Ganatra, alongside James Carlton, is an exceptional combination."


Legal 500 2020

"They're absolutely outstanding. They provide such a fantastic service."


Chambers UK 2020

Search

Portfolio
Title CV Email

Remove All

Download


Click here to email this list.