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Risk & Investigations

United Kingdom

Our specialist teams advise on compliance, investigations and claims, from the development and improvement of compliance controls and systems, including embedding those procedures into the corporate culture, through to investigating issues when they go wrong and defending clients before regulators, prosecutors and in civil proceedings arising from the same issues.”

Our team spans a number of key practice areas, including financial crime, employment, financial services enforcement, competition, data protection, health and safety, environment, sanctions and professional and clinical risks. Through CMS' extensive global network, we can also provide you with seamless advice on cross-border issues.

You can find out about how CMS can help you by visiting the pages below:

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High­lights of our Ex­per­i­ence in Risk & In­vest­ig­a­tions in the UK
A multi-na­tion­al and rap­idly grow­ing tech­no­logy com­pany on es­tab­lish­ing in­tern­al guidelines and con­trols to en­sure that they did not breach sanc­tions and money-laun­der­ing rules.Co­ordin­at­ing a re­view, over­haul and im­ple­ment­a­tion of a glob­al policy for a ma­jor in­ter­na­tion­al phar­ma­ceut­ic­al com­pany, cov­er­ing anti-cor­rup­tion and trans­par­ency policies in 30 jur­is­dic­tions glob­ally.  A large con­sumer products com­pany on a reg­u­lat­ory com­pet­i­tion in­vest­ig­a­tion and sub­sequent com­pet­i­tion com­pli­ance is­sues.A glob­al sav­ings and in­vest­ments busi­ness, help­ing it pro­tect its com­pet­it­ive ad­vant­age by us­ing the CMS Evid­ence tool to con­duct a soph­ist­ic­ated data-search which iden­ti­fied an at­temp­ted theft of vi­tal in­tel­lec­tu­al prop­erty.An in­ter­na­tion­al bank on a US DoJ in­vest­ig­a­tion in­to sanc­tions bust­ing in­clud­ing the pos­sib­il­ity of ex­tra­di­tion of em­ploy­ees to US.Ad­vising a con­struc­tion cli­ent on car­ry­ing out in­tern­al in­vest­ig­a­tion re­lat­ing to em­ploy­ee’s po­ten­tial dis­clos­ure of con­fid­en­tial in­form­a­tion whilst em­ploy­ee sub­ject to on-go­ing third party lit­ig­a­tion.Sup­port­ing an in­ter­na­tion­al phar­ma­ceut­ic­al cli­ent in its re­sponse to in­tern­al in­vest­ig­a­tion find­ings re­gard­ing in­ap­pro­pri­ate pay­ments made to gov­ern­ment of­fi­cials in a CEE coun­try and as­sess­ment of li­ab­il­ity ex­pos­ure for the com­pany’s glob­al seni­or man­age­ment team.A glob­al com­mu­nic­a­tions com­pany on a wide-ran­ging in­vest­ig­a­tion in­to al­leg­a­tions of im­prop­er con­duct in re­la­tion to the pro­cure­ment and de­liv­ery of con­tracts via a joint ven­ture with loc­al coun­cils to de­liv­er out­sourced ser­vices back to res­id­ents, as well as in struc­tur­ing a ma­jor trans­ac­tion to mit­ig­ate cor­rup­tion risks.A ma­jor fin­an­cial in­sti­tu­tion on an in­tern­al in­vest­ig­a­tion on the causes of ac­count­ing er­rors re­lat­ing to the US GAAP ac­count­ing treat­ment of pay­ments and re­ceiv­ables arising from factor­ing agree­ments over a num­ber of years.A UK headquartered me­dia busi­ness on an in­tern­al in­vest­ig­a­tion in­to, and money laun­der­ing is­sues arising from, an­onym­ous whis­tleblower al­leg­a­tions con­cern­ing a ma­jor con­tract won by an over­seas sub­si­di­ary.To find out more about oth­er re­lated ser­vices you can vis­it the Risk and In­vest­ig­a­tions ex­pert­ise sec­tion.
Risk & In­vest­ig­a­tions Ser­vice
Fraud, cor­rup­tion, tax eva­sion and money laun­der­ing are is­sues high on the pub­lic, polit­ic­al and en­force­ment agen­das around the world. Reg­u­lat­ory and trade bod­ies’ more strin­gent re­stric­tions and trans­par­ency re­quire­ments aimed at curb­ing cor­por­ate crime, to­geth­er with im­prove­ments in cor­por­ate in­tern­al con­trols, have led to bet­ter in­tern­al re­port­ing of con­cerns. This can gen­er­ate a new series of chal­lenges in terms of ap­pro­pri­ate ana­lys­is and in­vest­ig­a­tion of re­por­ted is­sues, and the in­sti­tu­tion of re­quired dis­cip­lin­ary or oth­er meas­ures to en­sure that the right les­sons are learned.From the set-up of ap­pro­pri­ate gov­ernance con­trols and align­ing fin­ance and risk func­tions, to re­vis­ing data col­lec­tion pro­ced­ures and de­vel­op­ing ro­bust crisis man­age­ment plans, it is clear that the his­tor­ic­al ap­proach to deal­ing with gov­ernance, risk, com­pli­ance and in­vest­ig­a­tions is no longer ad­equate. Giv­en the po­ten­tially far-reach­ing crim­in­al and fin­an­cial im­plic­a­tions, you need a leg­al team that will not only handle your most sens­it­ive and crit­ic­al af­fairs, but can ap­praise risks based on years of ex­per­i­ence with the is­sues spe­cif­ic to your sec­tor, con­sider all the com­mer­cial and repu­ta­tion­al con­cerns re­quir­ing pro­tec­tion and nav­ig­ate loc­al leg­al re­quire­ments.Our CMS Risk & In­vest­ig­a­tions teamOur Risk & In­vest­ig­a­tions team works 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, you can find out more about our ser­vices and our team in our Risk & In­vest­ig­a­tions Ser­vices pub­lic­a­tion be­low or vis­it our Risk and In­vest­ig­a­tions ex­pert­ise sec­tion.

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1 June 2020
The Ver­dict
Wel­come to the Spring/Sum­mer 2020 edi­tion of the Ver­dict, an at-a-glance round-up of re­cent leg­al de­vel­op­ments in re­la­tion to cor­por­ate crime. In this is­sue, the spot­light is on the over­haul of crim­in­al sen­ten­cing in Monaco com­ing in­to force in May 2020.
22 July 2020
The SFO se­cures ap­prov­al of its eighth DPA with G4S Care and Justice Ser­vices...
On 17 Ju­ly 2020, Mr Justice Wil­li­am Dav­is ap­proved a de­ferred pro­sec­u­tion agree­ment (“DPA”) between G4S Care and Justice Ser­vices (UK) Ltd (“G4S”) and the Ser­i­ous Fraud Of­fice (“SFO”). This...
November 2019
The Ver­dict
Wel­come to the Spring 2019 edi­tion of the Ver­dict, an at-a-glance round-up of re­cent leg­al de­vel­op­ments in re­la­tion to cor­por­ate crime.
06 July 2020
Ser­afin v Malk­iewicz - un­fair tri­als and the pub­lic in­terest de­fence in...
The Su­preme Court’s judg­ment in Ser­afin v Malk­iewicz and oth­ers [2020] UK­SC 23 is not­able for two reas­ons: It up­held the trenchant cri­ti­cism made by the Court of Ap­peal of the first in­stance judge,...
01 October 2019
CMS Emer­gency Re­sponse Sup­port Line
CM­S' ded­ic­ated re­sponse team is avail­able 24 hours a day to help cli­ents to lim­it their ex­pos­ure fol­low­ing an emer­gency in­cid­ent.
25 May 2020
Private pro­sec­u­tions: The be­gin­ning of the end for Nor­wich Phar­mac­al re­lief?
Back­ground Burford Cap­it­al Lim­ited (“Burford”), a lit­ig­a­tion fun­der, is lis­ted on the Lon­don Al­tern­at­ive In­vest­ment Mar­ket (“AIM”) (a wholly owned sub­si­di­ary of the Lon­don Stock Ex­change) (the...
May 2019
The Ver­dict
Round-up of cor­por­ate crime de­vel­op­ments across CMS jur­is­dic­tion­s'
09 April 2020
Latest UWO judg­ment shows that the checks and bal­ances built in­to the pro­cess...
In an in­ter­est­ing and im­port­ant judg­ment, on 8 April 2020, Lang J gran­ted the ap­plic­a­tions of the re­spond­ents in NCA v An­drew Baker, Villa Magna Found­a­tion and oth­ers [2020] EWHC 822 (Ad­min) to dis­charge...
08 March 2019
Health and Safety
CMS provides leg­al ser­vices re­lated to health and safety. Find out how CMS can help you now.
06 April 2020
OF­SI’s first multi-mil­lion pound sanc­tions fine - a trend to­wards in­creas­ing...
In­tro­duc­tion The Of­fice of Fin­an­cial Sanc­tions Im­ple­ment­a­tion (“OF­SI”) was cre­ated as a sep­ar­ate unit of HM Treas­ury in 2016 to en­sure that fin­an­cial sanc­tions im­posed by the EU and the UK gov­ern­ment...
08 March 2019
En­vir­on­ment
For over 25 years, our CMS Risk and In­vest­ig­a­tions group has been a lead­er in the UK and Europe in spe­cial­ist en­vir­on­ment leg­al ser­vices and ad­vice. Find out more.
04 February 2020
Eng­lish High Court rules in cy­ber in­sur­ance case that cryptoassets are...
The re­cent Com­mer­cial Court case of AA v Per­sons Un­known[1] con­sidered the leg­al status of cryptoassets as per­son­al prop­erty un­der Eng­lish law. In a sig­ni­fic­ant judg­ment ad­opt­ing the po­s­i­tion held by...