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.
Welcome back to the tenth 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 further explores themes covered in previous episode 6 (Initial considerations for uncovering the facts) and examines the specific issues that may arise in how employee interviews (or any witness of fact) are conducted in the US and Hong Kong. The team also discusses the pros and cons of recording witness interviews via audio or video recording.
18 Nov 2022
Conducting effective and efficient document reviews
Welcome back for the ninth 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 further explores themes covered in previous episode 6 (Initial considerations for uncovering the facts) and examines the ways in which clients can conduct data collection and review efficiently, for example, by employing AI techniques. The team also examines regulatory views on GDPR in the context of document reviews and data sharing.
11 Oct 2022
Examining Trends in Client Cooperation
Welcome back for the eighth 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 issue of client cooperation for external (or regulator-led) investigations, and discusses relevant considerations and possible approaches when it comes to that cooperation. The team also examines cooperation considerations in the context of ESG (Environmental, Social and Governance) focused investigations.
13 Sept 2022
Practical tips on privilege
Welcome back for the seventh episode of 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 discusses practical tips on privilege in the context of investigations, which includes discussion around the assertion of privilege from the outset of an investigation - and the involvement of regulators on this point; retaining privilege over work product created during an investigation; and precautions that clients should take before interviewing employees to protect privilege.
16 Aug 2022
Initial Considerations for Uncovering the Facts
Welcome back for the sixth 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 early considerations for preservation of documents, and the issues that clients may face when it comes to potentially relevant information being stored on personal devices. The team also provides tips for conducting effective witness interviews, including discussion on putting documents to witnesses during interview or ahead of time.
14 Jul 2022
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.
16 Jun 2022
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.
16 May 2022
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.
19 Apr 2022
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.
23 Feb 2022
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.
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