Regulatory Inspections & Interviews Overview

An inspection, particularly an unannounced one, by a regulatory authority can be a serious disruption to a business and can be the first step in a civil or criminal enforcement action by a regulator with the additional potential for civil follow-on damages actions.

Faced with an inspection, a business will need to take immediate steps to ensure that its interests are protected.  It will need to understand the reach of the regulator’s powers and its procedures, the focus of the investigation and take steps to ensure an appropriate level of co-operation with officials.

We can help. Our lawyers have extensive experience of managing dawn raids, inspections and investigations.  We advise on both the practical and strategic issues that arise during them and in any subsequent enforcement and/or civil action.

Our work

We provide cover, to include on-site dawn raid cover, dealing with issues such as:

• Overriding strategy and business risk
• Carefully managing disclosure demands
• Protecting your privileged material
• Guiding personnel through regulatory interviews
• Working with your communications team on reputation management matters
• Advising on measures to mitigate related civil claims

We also work with clients to prepare, implement and test dawn raid procedures, to include staff training with a view to ensuring they respond appropriately during an investigation.