Regulatory & Criminal Investigations

A matter that begins as an administrative inspection can turn into a criminal investigation, and the point at which that happens is not always announced. Statements given informally at the inspection stage can appear later in a criminal file.

Wise Counsel represents companies and their managers in regulatory proceedings that carry criminal exposure, and defends them if the matter is referred to the investigation authorities.

What we help with

• Assessing at the outset whether a matter carries criminal as well as administrative exposure
• Advising management on what may and may not be said during inspections and interviews
• Representing individuals summoned to give statements to the investigation authority
• Advising on document requests, seizure of records and preservation obligations
• Defending managers against allegations of tax evasion, accounting offences and fraud
• Advising on the company's position where an employee is prosecuted
• Separating the interests of the company and of individual managers where they diverge
• Coordinating the regulatory response and the criminal defence so they do not conflict
• Advising on remediation, restitution and mitigation before charges are decided

The company and its managers do not always have the same interests. We identify that early and advise on separate representation before a conflict becomes a problem.