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Investigations

The focus of this blog is to provide insights into the latest trends, risks and developments in financial services investigations, including those conducted by the FCA, the PRA and other overseas regulators. Set out below are Allen & Overy’s thoughts on the latest developments in this area.

eDiscovery in investigations: emails, chat and laptops

This is the second in a series of blog posts on how to make eDiscovery in investigations as effective and painless as possible. Last time we looked at some of the key decisions that need to be made on how to collect data without tipping-off wrongdoers and in a cost-effective and proportionate manner. In this Read More

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eDiscovery in investigations: Collecting evidence efficiently and defensibly

The collection and review of data can be a large, important and potentially costly part of a corporate investigation.  In this blog post, which is the first in a short series on eDiscovery, we will look at how to make data collection and review as effective and painless as possible, whilst at the same time Read More

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U.S. Department of Justice tweaks its guidance on compliance programs

The Department of Justice has been in a chatty mood lately on the subject of corporate compliance programs.  Framed as guidance to prosecutors as to how they should evaluate the programs of companies that come before them, the Department has now issued three documents over the last four years on this subject.  While ostensibly instructing Read More

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Watershed moment for prosecution of corporate crimes in Germany gets closer

Resistance has been futile. Although practitioners and academics strongly criticised a previous working draft, the German Federal Ministry of Justice has now formally published its proposal for a Corporate Sanctions Act (Verbandssanktionengesetz, the Draft Bill). The Draft Bill reflects some of the concerns that were raised about the previous draft (discussed here).  It has become Read More

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Amid falling markets, valuation challenges and mis-marking fraud risks rise

Amidst a troubled economy and falling public markets, private-equity firms and financial institutions are facing valuation challenges that may spell trouble with United States regulators. In early April, the Wall Street Journal reported that private-equity firms are grappling with how to assess the impact of the current economic turmoil on the value of the illiquid Read More

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