Our regulatory consulting team undertakes independent statutory investigations on behalf of international regulatory authorities (commonly referred to as Inspector, reporting professional or appointed person investigations) and accepts oversight appointments such as co-signatory or appointed manager mandates. Combining legal, accountancy and commercial skills, we will work with the regulatory authority to identify a team with appropriate skills to undertake the scoping required.
Investigation appointments may take the form of inspector, reporting professional, appointed person according to the legislative powers vested in the regulatory within particular regimes. An investigation into the compliance of the business with the regulatory regime may look into conduct of business of a regulated person, integrity and competency issues such as suitability of advice, or examine forensic records, assess losses, calculate quantum, etc., combining regulatory, legal and accountancy skills within the assigned team.
We also have experience acting as appointed independent advisor to the board of regulated entities where the authority requires heightened oversight.