Internal investigations into regulatory misconduct: Key issues for individuals

Francis Kean and Menelaos Karampetsos
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Francis Kean: Partner, McGill and Partners, UK
Menelaos Karampetsos: Associate, Brown Rudnick LLP, UK

Journal of Financial Compliance, 2024, vol. 7, issue 3, 222-230

Abstract: This paper will address key issues for individuals in respect of internal investigations prompted by significant, non-criminal, financial regulatory issues. For the purposes of the paper, the authors will focus on firms authorised and regulated by the Financial Conduct Authority (FCA) and internal investigations conducted as a result of a breach or suspected breach of FCA rules. The paper will cover matters relevant to individuals such as: (i) duty to participate, (ii) rights and obligations, (iii) access to materials, (iv) legal advice and (v) costs/the availability of insurance coverage. The analysis will be framed in the context of current FCA enforcement trends and priorities regarding both entities and individuals.

Keywords: investigations; FCA; insurance; misconduct (search for similar items in EconPapers)
JEL-codes: E5 G2 K2 (search for similar items in EconPapers)
Date: 2024
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Persistent link: https://EconPapers.repec.org/RePEc:aza:jfc000:y:2024:v:7:i:3:p:222-230

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