5 episodes

Mayer Brown’s "Investigations Lifecycle Insights" series provides guidance and tips on the mechanics of both internal and external (or regulator-led) investigations in the context of financial services. Covering the period from the time allegations are first made and an investigation is launched, through to its conclusion, and remediation post-investigation, each episode in the series covers a different stage or process within a typical "life cycle" of an investigation, and discusses overarching global themes in investigations from different jurisdictional standpoints.

Investigations Lifecycle Insights Mayer Brown

    • Business
    • 5.0 • 3 Ratings

Mayer Brown’s "Investigations Lifecycle Insights" series provides guidance and tips on the mechanics of both internal and external (or regulator-led) investigations in the context of financial services. Covering the period from the time allegations are first made and an investigation is launched, through to its conclusion, and remediation post-investigation, each episode in the series covers a different stage or process within a typical "life cycle" of an investigation, and discusses overarching global themes in investigations from different jurisdictional standpoints.

    Timing, Team, Supervision and Work Product

    Timing, Team, Supervision and Work Product

    Welcome back for the fifth episode in this podcast series. We are joined by four partners from Mayer Brown’s global Dispute Resolution practice: Chris Chapman and James Whitaker in London, Susanne Harris in Hong Kong, and Glen Kopp in New York, with London based Dispute Resolution senior associate Amanda Plowden asking the questions. The team examines the pertinent initial considerations to which clients should have regard at the outset of investigations, relating to formation and supervision of the investigative team; the timetable of the investigation; and the ultimate work product of the investigation.

    • 10 min
    What can you do to prepare before an investigation commences?

    What can you do to prepare before an investigation commences?

    Welcome back for the fourth episode in this podcast series. We are joined by four partners from Mayer Brown’s global Dispute Resolution practice: Chris Chapman and James Whitaker in London, Susanne Harris in Hong Kong, and Glen Kopp in New York, with London based Dispute Resolution senior associate Amanda Plowden asking the questions. The team examines the restrictions on data sharing and privilege in Asia; discusses ways in which clients can be ready to launch an investigation without any undue delay; and the importance of involving insurers from the outset of the investigation.

    • 10 min
    Should an internal investigation be conducted?

    Should an internal investigation be conducted?

    Welcome back for the third episode in this podcast series. We are joined by four partners from Mayer Brown’s global Dispute Resolution practice: Chris Chapman and James Whitaker in London, Susanne Harris in Hong Kong, and Glen Kopp in New York, with London based Dispute Resolution senior associate Amanda Plowden asking the questions. The team examines the relevant considerations when deciding whether to launch an investigation, which can involve firms having to take a hard look at difficult issues that they may otherwise prefer to keep under the radar. The team also discusses the regulatory expectations in Hong Kong and the US, as well as the obligations to conduct investigations for ESG reasons.

    • 9 min
    Why do external investigations happen?

    Why do external investigations happen?

    Welcome back for the second episode in this podcast series. We are joined by four partners from Mayer Brown’s global Dispute Resolution practice: Chris Chapman and James Whitaker in London, Susanne Harris in Hong Kong, and Glen Kopp in New York, with London based Dispute Resolution senior associate Amanda Plowden asking the questions. The team examines some of the trigger points for FCA and PRA led investigations in the UK; describes the trigger points in the US and whistleblower incentives; discusses what may have triggered a rise in external investigations in Asia; and addresses overarching global trends regarding why investigations occur.

    • 10 min
    What is an Investigation?

    What is an Investigation?

    For the first episode in this podcast series, we are joined by four partners from Mayer Brown’s global Dispute Resolution practice: Chris Chapman and James Whitaker in London, Susanne Harris in Hong Kong, and Glen Kopp in New York, with London based Dispute Resolution senior associate Amanda Plowden asking the questions. We begin by discussing the differences between internal and external (or regulator-led) investigations; the definition of “investigation” and the extent to which it is a term of art; the range of circumstances in which investigations may arise; and how organisations might go about preparing for an investigation, and how that might compare to preparing to defend inbound litigation.

    • 11 min

Customer Reviews

5.0 out of 5
3 Ratings

3 Ratings

Top Podcasts In Business

Ramsey Network
iHeartPodcasts
Jocko DEFCOR Network
Steven Bartlett
Andy Frisella #100to0
NPR

You Might Also Like