Internal Investigation

An internal investigation is a formal inquiry commissioned by a business to establish the facts when there are concerns about potential misconduct or criminal behaviour. You should consider one when you have reason to believe that an employee or group of employees may have engaged in serious misconduct, financial irregularity, fraud, or a breach of regulatory obligations.

A prompt and thorough investigation allows your business to make informed decisions about disciplinary action, regulatory reporting, and whether to involve law enforcement.

We begin by establishing the scope and remit of the investigation, so that it covers the right ground without overreaching. We then assist in identifying, preserving and reviewing relevant evidence, which may include documents, emails, financial records and electronic data.

We conduct formal interviews with relevant employees, either as witnesses or as suspects, drawing on our experience in criminal investigation work. At the conclusion, we provide a written report setting out our findings and conclusions.

Independence is essential to the reliability and credibility of an internal investigation. Placing the investigation in the hands of external lawyers, rather than internal staff, removes the risk of actual or perceived bias. Our team conducts investigations with the same rigour and objectivity we bring to criminal defence work.

The written report we provide is a clear, objective account of the evidence and our conclusions, which your business can rely on when making decisions about next steps.

The written report we produce sets out the evidence gathered, the interviews conducted and the conclusions reached. Your business can then make informed decisions about whether to take disciplinary action, whether to report findings to a regulator or professional body, and whether to involve law enforcement.

We guide you on those decisions and on the appropriate next steps, and represent you in any disciplinary, regulatory or criminal proceedings that follow.

Whether you have an obligation to report depends on the nature of the findings and the regulatory context in which your business operates. Some regulated businesses have positive obligations to report certain types of misconduct to their regulator. In other cases, voluntary disclosure may be in your interests.

We guide you on these questions and help you engage with any regulator or law enforcement body in a way that is constructive and protects your business’s interests.