Investigations checklist

When faced with allegations of wrongdoing, there is often a need to act swiftly and sensitively to protect your business and its reputation. Good project management is crucial.

The following checklist sets out key considerations in the first 24 hours of any investigation – whether in response to an internal whistleblower or external party like a regulator.

At Travers Smith, we can guide you through any investigation, however contentious or sensitive. Our lawyers are market-leading experts in regulatory and internal investigations, enforcement actions and disciplinary proceedings across a range of sectors and regulators (including the Financial Conduct Authority, the Serious Fraud Office, the Competition and Markets Authority, the European Commission and the Pensions Regulator, among many others).

Please get in touch to explore how we could help you be prepared.

Appointed by NatWest Group to undertake an independent review into account closure arrangements at Coutts in two phases: the first covering the decision to close the Coutts accounts of a prominent individual and the circumstances surrounding a potential breach of confidentiality relating to their customer information; the second covering a wider sample of Coutts’ account closures over a two-year period.
Carrying out multiple investigations for a PRA authorised and FCA regulated business into allegations of bullying and harassment.
Undertaking a complex and wide-ranging independent investigation into alleged director misconduct within a multinational company. The investigation spans multiple jurisdictions.

Carrying out an investigation on behalf of a private equity company into two of its portfolio companies, acquired in 2021. The investigation concerned alleged misconduct by an employee of one of the portfolio companies, pertaining to relationships with subcontractors on a key customer account, as well as the alleged manipulation of revenue recognition.
Advising a technology business on a barrister-led investigation into allegations of wrongdoing.
Carrying out an investigation for a FTSE250 business following anonymous whistleblowing allegations being received about the conduct of certain senior executives.