Financial and Regulatory Risk and Investigations

We can use our knowledge and experience to help you proactively plan, manage and mitigate your perceived and/or actual risks which may lead to financial loss.  However, it may be too late, meaning that you need to react to the crisis and respond quickly to ensure damage limitation. We can help with that too.

We can assist pre-emptively and reactively with:

• Financial risk management
• Fraud awareness
• Financial investigation
• Counter crime and fraud (including internal and corporate fraud)
• Regulatory oversight
• Asset tracing and recovery
• Criminal and civil matters

We work with clients to help identify and mitigate anticipated risk, identifying appropriate controls and procedures as required.  If issues have already arisen we can undertake and/or support in investigating alleged or confirmed financial issues, such as fraud allegations, suspicions and misfeasance, blackholes, and employee or supply chain frauds.  We can help clients to understand the quantum of the issue, remediate potential causations of the issue and mitigate such potential issues arising in the future.

We can help limit exposure to regulatory issues or professional conduct rule breaches, and help clients with damage limitation of such breaches and consequential fines.  We have particular experience and expertise in the investigation and defence of financial regulatory and professional conduct matters, including matters brought variously by the FRP, the FCA, the OFT and other industry and professional regulators.  Our team has experience of working for and with such regulators and brings the insight gained to our work.

We work with insolvency colleagues and third parties in tracing and recovering assets, both domestically and from overseas, as well as working alongside legal practitioners to assist clients, if appropriate, in the defence or prosecution of fraud cases, confiscation proceedings and regulatory investigations.  In this case we can act as adviser or expert, working to the requirements of the criminal courts or other relevant legislation and guidance.

To discuss how our expert risk & forensics team could assist, either in general terms or in relation to a particular case, please call Tony Chapman on 0113 887 0070 or Philip Allsop on 0114 266 7171.