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Internal investigations into regulatory misconduct: Key issues for individuals

Author

Listed:
  • Kean, Francis

    (Partner, McGill and Partners, UK)

  • Karampetsos, Menelaos

    (Associate, Brown Rudnick LLP, UK)

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.

Suggested Citation

  • Kean, Francis & Karampetsos, Menelaos, 2024. "Internal investigations into regulatory misconduct: Key issues for individuals," Journal of Financial Compliance, Henry Stewart Publications, vol. 7(3), pages 222-230, April.
    • Handle: RePEc:aza:jfc000:y:2024:v:7:i:3:p:222-230
    as

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    More about this item

    Keywords

    investigations; FCA; insurance; misconduct;
    All these keywords.

    JEL classification:

    • G2 - Financial Economics - - Financial Institutions and Services
    • E5 - Macroeconomics and Monetary Economics - - Monetary Policy, Central Banking, and the Supply of Money and Credit
    • K2 - Law and Economics - - Regulation and Business Law

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