Corporate investigations : Keystone Law

Corporate investigations, risk and compliance

If you’re facing a corporate investigation, risk or compliance matter, you will require robust legal support. Our team of corporate investigations lawyers help clients navigate the challenges of internal inquiries, from Speak Up concerns which raise significant risks for the business, regulatory enforcement proceedings through to complex cross-border investigations which can involve fraud and financial crime.

Our corporate investigations, risk and compliance services

Our lawyers have extensive experience in handling all stages of internal, as well as international and large-scale investigations. An investigation can be criminal or specialist regulatory in nature, both of which are likely to involve interviews, possibly under caution at some point in the process, and can involve dawn raids conducted without notice by enforcement authorities, and/or preparation for and appearance at hearings. Our corporate investigations, risk and compliance lawyers can help you to prepare for this stressful and overwhelming process and guide you through it when it happens. Each investigative regime is different, and you will need bespoke expertise that our legal specialists provide, having advised on both the side of the prosecutor and the side of the defence.

New developments, laws and regulations are constantly arising in investigative processes which could affect your company and impact your compliance programmes. Our lawyers will provide you with updates on any changes and guide you through a full risk assessment to produce tightly drafted policies, effective procedures, and crisis response processes that meet those needs completely.

Who do we advise?

We are trusted advisors to FTSE 100 companies, global corporates, senior executives and managers, directors and high-net-worth individuals following the discovery of issues that might have criminal, regulatory or civil repercussions.

Why choose our global investigations, risk and compliance team?

Our lawyers have over 50 years of experience in advising on all aspects of crisis management, white-collar crime and corporate investigations. They work with and/or defend clients during investigations by UK agencies/bodies such as SFO, NCA, CPS, FCA as well as internationally with and/or against the US Department of Justice, SEC, OFAC, Europol, Asian Financial Services and Competition authorities, national governmental organisations, and multilateral development banks such as the World Bank, African Development Bank and the European Bank for Reconstruction and Development.

Our multi-disciplinary corporate investigations, risk and compliance team is made up of former prosecutors, regulators, barristers, defence practitioners, and in-house counsel who are specialists in advising on global corporate investigations, compliance issues, and crisis and risk management procedures.

For further information or to discuss an investigation matter, please telephone 020 3319 3700 or click here to email us.

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Crisis Management and Criminal/Regulatory proceedings
Internal and External Investigations
Financial Services: Regulatory
Compliance & Advisory
Corporate Governance
Supply Chain Risk Management

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Advised multiple fintech and financial service provider startups on the FCA compliance status of their MVP/proposed financial products and assisted in structuring the business so that it complied with the appropriate international financial regulator.
Acted for a significant FCA-regulated corporate on its change of control and sale of its financial services business to include obtaining all necessary authorisations.
Acted for the administrators of a corporate group in relation to the sale and transfer of all its regulated financial services business and the subsequent cancellation of all its FCA authorisations.
Advised a corporate administrator of a complex joint venture investment structure between two major countries, one of which is subject to complex sectoral economic sanctions. The structure involved a number of entities across a number of jurisdictions. Provided ongoing sanctions and AML advice on proposed transactions, in addition to responding to regulatory queries.
Advised a diamond mining company during an investigation to ascertain whether it held proceeds of crime/funds derived from bribery and corruption.
Conducted an internal review of a fiduciary company’s compliance with risk-based systems and controls obligations arising from AML requirements, pursuant to money laundering legislation and guidance.
Advised on suspected insider dealing and market abuse by senior staff and officers at a national food retailer, conducted interviews and managed the internal investigation, liaised with the HR teams on the disciplinary dismissal process and with the FCA regarding the insider trading prosecution.

Compliance & Advisory

Corporate Governance

Advised Getech Group plc on its acquisition of Exprodat Consulting Limited and related corporate governance matters.
Advised Snowsport England on corporate governance issues.
Developed and implemented an extensive corporate governance framework and was instrumental in developing a governance-focused culture within the business.
Developed a new chapter relating to private company corporate governance for practical commercial precedents (covering (1) legal, ethical and compliance matters, and (2) operational checks and balances for the directors and senior executives).
Acted as legal counsel for The Gentlemen Baristas on corporate governance issues relating to an investor director.
Advised over a three-year period a well-known multinational group which was downsizing its operations as it transitioned into the ownership of the PPF, comprising company and corporate governance advice across a range of issues, due diligence and commercial advice in over 20 jurisdictions.
Advised a well-known airline on a post-deal integration project involving combining two airlines by way of a complex business transfer within a single entity with associated new corporate, funding and governance structure in order to achieve cost efficiencies and improved corporate governance.
Advised the EU Commission on a review of corporate governance codes across Europe.

Supply Chain Risk Management

Conducted a global ESG supply chain review for a US-listed retail company with a large global footprint.
Designed a third-party due diligence procedure for a global retail company.
Conducted a bribery risk assessment across global operations in high-risk jurisdictions.
Conducted a modern slavery risk assessment focused on Asia-based operations.
Advised a leading retailer on proportionate due diligence procedures and red flag mitigation.