Focusing on investigations involving individuals, we offer 10 key trends and tips for firms and staff facing regulatory actions
With individual accountability a continuing focus of financial services regulators globally, we have collected themes and practical tips from our experts across the Herbert Smith Freehills global network to assist our clients with the management of investigations involving individuals.
We have compiled this experience and expertise into four Top 10s:
- Top 10 global trends regarding investigations involving individuals
- Top 10 reasons for an investigation involving individuals
- Top 10 tips for firms conducting an investigation involving individual misconduct
- Top 10 tips for individuals on how to avoid an investigation
Click on the pendulums below to view each of these Top 10s.
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The contents of this publication are for reference purposes only and may not be current as at the date of accessing this publication. They do not constitute legal advice and should not be relied upon as such. Specific legal advice about your specific circumstances should always be sought separately before taking any action based on this publication.
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