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Legal Briefing
Ten tips for dealing with FSA investigations
Practice Area: Regulation and Compliance
Sector: Business services
Jurisdiction: England & Wales
Published: 11 October 2011
Law Firm: Baker & McKenzie
Overview
This briefing from Baker & McKenzie offers key tips on how to handle an investigation by the Financial Services Authority (FSA) including how to set the right tone and show the FSA that you are taking the investigation seriously.
It also discusses how companies should handle notifying third parties, on a confidential basis, about an investigation including insurers, other group companies, auditors and foreign regulators.
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