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Corporate Fraud Regulatory Investigations

At Saunders, we are experts in regulatory law.  We also have a specialist team of criminal lawyers, with knowledge and experience of white collar crime, who are on hand to assist you in dealing with any regulatory investigation which may arise.

It is crucial at each stage of a regulatory investigation to engage with the regulator and obtain high quality legal advice.  At Saunders we have extensive experience in dealing with a number of regulatory bodies.  We can offer simple, clear advice to your business to ensure that you make the best decisions possible.

Ensuring compliance and managing an investigation

As a modern business, it is vital that you understand your regulatory obligations.  As the regulatory framework in the UK becomes increasingly complicated you must ensure that you are compliant and fully understand the obligations on your business. Our regulatory lawyers can advise you on any matters that may be causing you concern.

In the event that a regulatory investigation is opened, it is important that you understand what is involved.  If this is a challenge your business is facing, we can advise you throughout the process.  We can advise on how to self-report if a regulatory breach occurs and how to respond to the investigation.  It is important to be cooperative with the regulatory authorities and respond to any questions in a timeous, efficient manner.

Below we outline some of the key regulatory bodies and how they may use their investigative powers.   However, we would recommend speaking to one of our team who can guide you through the full details of the services and representation we offer.  It is important that regulatory investigations are dealt with correctly from the outset, and our team is here to provide that support.  If you have any questions in relation to regulatory compliance and investigations, do not hesitate to get in touch.

Serious Fraud Office

The Serious Fraud Office (SFO) is a prosecuting body which deals with serious fraud, bribery and corruption.  The SFO is responsible for investigating and prosecuting these serious crimes.  The SFO will gather intelligence an, based on this information, may decide to open an investigation.  During the investigation the SFO will seek to establish whether a relevant crime has occurred and whether there ought to be a prosecution.  The SFO has the power to carry out a dawn raid on your business.

As an alternative to prosecution, the SFO may agree to a Deferred Prosecution Agreement (DPO).  This is an agreement which allows for the suspension of prosecution for a set period, so long as the organisation under investigation complies with certain conditions.  Essentially, a company will be charged but proceedings will be suspended, under the supervision of a judge.  The first DPA, between the SFO and Standard Bank, has recently come to an end with Standard Bank having complied with all relevant conditions.

HMRC

HMRC is perhaps the best known regulator for most businesses.  HMRC has the power to undertake both civil investigations and criminal investigations with a view to prosecution.

Like the SFO, HMRC has the power to investigate a business through a dawn raid. A dawn raid is used by HMRC to gather evidence which can then be used in any investigation or prosecution.

In recent years HMRC has taken a strong stance in terms of criminal prosecution.   HMRC has stated that it will consider opening a criminal investigation, as opposed to a civil investigation, in cases involving money laundering; corruption; and where an individual holds a position of trust or responsibility.

 At Saunders, we are experts in regulatory law.  We also have a specialist team of criminal lawyers, with knowledge and experience of white collar crime, who are on hand to assist you in dealing with any regulatory investigation which may arise.

It is crucial at each stage of a regulatory investigation to engage with the regulator and obtain high quality legal advice.  At Saunders we have extensive experience in dealing with a number of regulatory bodies.  We can offer simple, clear advice to your business to ensure that you make the best decisions possible.

Financial Conduct Authority

The Financial Conduct Authority (FCA) is responsible for regulating the conduct of financial services firms and financial markets.  If your business is regulated by the FCA, it is important that you fully under your regulatory responsibilities.  The FCA has investigatory powers meaning that they can impose penalties on businesses and stop them from trading. 

As an alternative to appointing enforcement investigators, the FCA may agree a way forward with the company concerned, which may involve FCA supervision.  The FCA may also require payments to be made to customers.

In order to ensure maximum cooperation during any investigation, it is important to have the right legal advice on hand.  This can result in a more positive outcome for both the company and the FCA.

Contact our specialists today

At Saunders, we are specialist commercial litigation lawyers with expertise in defending regulatory prosecutions. The above outlines some keen regulatory areas we are familiar with and able to offer representation.  However, there are many areas of niche, regulatory law in which we can offer defence.  It is important that, if you are facing any type of regulatory sanction, that you reach out to us as soon as possible.

We offer a free initial consultation to establish if we can assist you and would be happy to guide you in the right direction.  So if you need regulatory assistance, please speak to one of our experts today.

Call us on 02076324300 or make an enquiry online.

 

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