Released in six parts, this manual provides best practices and guidance for those conducting or overseeing investigations, including Boards of Directors, General Counsel and Corporate Executives in both the U.K. and the U.S.
By downloading Parts 1 - 3, you will receive 61 pages describing:
Charles leads the Regulatory Advisory function at Clutch Group. Prior to joining the firm, he worked at the UK Financial Conduct Authority (FCA) where he was responsible for the supervision of a large investment bank. Charles also spent several years in the FCA’s Enforcement Division where he managed a wide range of regulatory and criminal markets cases.
Before joining the FCA, Charles was a senior internal auditor at the international hedge fund manager, Man Group plc. This role built on deep markets experience gained from the first seven years of his career during which he worked as a derivatives broker on a number of trading desks.
His experience working for a regulator as well as regulated firms has led Charles to form a strong view that the interests of both camps are greatly advanced through open and constructive dialogue.
Jake is a partner at TLT Solicitors and leads the firm's Investigations & Enforcement team advising clients on a range of regulatory issues and investigation projects. Before joining TLT, Jake was in-house legal counsel at a major global bank – he performed this role through most of the financial crisis and oversaw a significant portfolio of global investigations and enforcement matters.
Jake originally qualified as a barrister where he honed many of his forensic skills, particularly the handling of difficult witnesses. Appearing regularly as counsel in criminal and civil court proceedings, he learnt very early on the benefit of staying calm under pressure. This has stood Jake in good stead during his career whilst he has investigated major reputational events, defused challenging regulators and proactively managed the interests of client firms and their employees alike.
Jake is also a great enthusiast of structure – and the concepts of structure, process and order permeate much of this book.