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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.

Remote working: No excuse for non-compliance with obligations to record telephone conversations and electronic communications

The UK Financial Conduct Authority (FCA) has emphasised in the latest edition of its Market Watch Newsletter its expectations for firms to record telephone conversations and electronic communications in light of the increased use of alternative working arrangements by employees such as increased homeworking. The FCA has highlighted that risks from misconduct may be heightened Read More

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SFO rebuked for overreaching: no power to seek overseas documents from non-UK companies

The Supreme Court has decided the Serious Fraud Office does not have the power to issue a section 2 notice to a non-UK company with extraterritorial application.  It can, however, continue to compel production of documents held extraterritorially by UK companies: The Queen on the application of KBR Inc v The Director of the Serious Read More

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eDiscovery tools cut cost and time (in the right hands)

Well managed data analytics and other eDiscovery tools can help to bring order to a huge dataset, reduce data volumes for review and get to the relevant documents quicker.  Data is being created at exponential rates, yet investigations lawyers are not granted the luxury of additional time or resources to review it. Data volumes are predicted Read More

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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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