Managing Investigations: Understanding the process

With more internal reporting of concerns within businesses thanks to improved training and controls, and with complex regulatory, criminal and HR investigations becoming more commonplace, corporates need an increasingly robust and considered approach to investigations to manage legal and reputational risk.

From the set-up of the investigation team, appropriate governance controls, identification of the issues and sources of evidence, through to risk identification and mitigation, there are many competing concerns to consider during the investigation process.

The main phases of an investigation

This interactive guide provides a high-level overview of the main phases of an investigation:

Setting up the investigation structure
Implementing the investigation strategy
Reporting and following up

Understanding the process

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Key considerations:

Each milestone needs to be assessed against regulatory requirements
The availability of legal privilege is an important consideration that needs to be reviewed throughout the lifecycle of the investigation as its availability may change over time
A clear and transparent audit of process and information should be maintained throughout the investigation

How can the CMS Risk & Investigations team help my business?

CMS Risk & Investigations team can work with you to safeguard your business and ensure that your organisation can readily demonstrate a consistent and defensible compliance position to regulators, prosecutors, customers and other key stakeholders. Bringing together advisors across the major focus areas for your risk and compliance strategy, including bribery and corruption, money laundering, fraud, competition, sanctions and trade law, data protection and security, environmental, health and safety, and regulatory, we assist in all stages of the compliance lifecycle.

Key contacts

Omar Qureshi

Partner
Risk

London

T +44 20 7367 2573

Eoin O'Shea

Partner
Head of Corporate Crime Practice

London

T +44 20 7367 2366