Investigations and regulatory


Workplace investigations

Our team has a wealth of experience in conducting workplace investigations covering complex and sensitive issues.

We provide strategic and practical support to clients by conducting independent workplace investigations, carrying out witness interviews, collating relevant documentation, drafting investigation reports and advising on legal privilege in the context of investigations.

We also act for senior executives who may be the subject of investigations and for whom the process is often challenging. We are on hand to offer technical expertise and guidance through the investigation procedure.


The Senior Managers Certification Regime (SMCR) now applies to virtually all firms that are authorised under the Financial Services and Markets Act 2000. With one of the intentions behind the scheme being to encourage individuals to take greater responsibility for their actions it is important that employers and employees are aware of their obligations.

We routinely provide advice on a wide range of SMCR related issues e.g. tailoring contracts of employment and relevant policies to fall in line with the SMCR, dealing with disciplinary issues, exits, advising on regulatory references as well as providing training on the SMCR.

We act for both financial institutions and senior executives of financial institutions, assisting with regulatory investigations, complex issues regarding legal professional privilege, whistleblowing, remuneration structures, the SMCR and negotiating exit packages. We have experience in conducting and advising on sensitive internal investigations within regulated industries. We work very closely with our standalone team of regulatory specialists who can provide further technical expertise when required.