Approaches To Being The Subject Of A Criminal Or Regulatory Investigation - MDK

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  • February 06, 2020

Being the subject of a serious criminal or regulatory investigation is highly stressful and potentially career ending.

Investigations usually follow an allegation against you.  You can also be caught up in an investigation of someone else’s conduct.

The most important advice that you can be given, if you are caught up in such an investigation, is to not go it alone or think you can handle it.  You cannot. A natural reaction in such a situation is to show how strong and brave you are – and how disdainful the allegations are.  Another is to immediately go into denial mode.  Those are exactly the wrong reactions.

Having been involved with clients caught up in insider trading allegations, serious regulatory breaches, accusations of corporate misconduct or allegations of criminal conduct, the most important thing to do is to assemble a defence team – and let that team handle the allegations.

That step achieves three basic ends – all critical to you either resolving the allegations or minimising the damage:

  1. It removes you from the direct firing line – allowing you to regroup and get back onto an even keel. You also, now, have an independent sounding board which is important to your own well being.
  2. It slows things down allowing the facts to be brought out without concentrating on you.
  3. It signals to the investigators that you are taking their investigation seriously – a point which will stand you in good stead going forward.

Once a team is assembled and, with your input, options become available to you.  Importantly you will know exactly where you stand – and how best to move from there.

Time and again we have seen clients – after their own attempts to knock allegations against them into a cocked hat have been spectacularly unsuccessful – who are broken and behind the eight ball.  In those circumstances it is much harder to pick up the pieces.

When confronted with a serous investigation – whether it be criminal, corporate or regulatory within your trade or profession, get advice and help immediately.

If you are the subject of such an investigation or are likely to be, you can call either Mark de Kerloy or Nicholas de Kerloy for confidential advice on 9221 5326 or contact by email     or