1 00118601 Emerging themes 2019 A4 AW v31 combined - Page 17



EMERGING THEMES 2019
INTERNAL
INVESTIGATIONS
THE HUMAN SIDE
There are many reasons why a firm may find itself carrying out
an internal investigation, but some of the most common triggers
involve employee grievances and protected disclosures. In the
regulated environment, the stakes are high – both firms and
their senior managers have regulatory duties to investigate
and respond appropriately to concerns raised. The fact that
the investigation has a regulatory driver, however, does not mean
that HR issues are irrelevant. Securing employees’ buy-in and
cooperation with internal investigations is critical to their
successful outcome. How individuals are dealt with during
and at the conclusion of an investigation can have important
consequences for individuals’ future employability in today’s
regulatory environment, and may also give rise to employment
related risks.
We discuss three “people” issues that can arise in regulated firms’
internal investigations, and how these issues can be managed
to avoid creating unnecessary regulatory or employment risks.
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