Regulatory Investigations

An inspection or investigation by a regulator is a defining moment for a business. What is said in the first meetings, and what is produced in response to the first document request, tends to shape the outcome — and can be difficult to walk back later.

Wise Counsel advises companies and their managers during inspections and investigations by tax, customs, competition, labour, environmental and sector regulators, and represents them in the proceedings that follow.

What we help with

• Advising on the scope and legal basis of the inspection before responding
• Preparing management and staff for interviews and site visits
• Reviewing documents before they are produced and advising on privilege and confidentiality
• Attending meetings with the authorities alongside the company
• Reviewing and commenting on draft inspection minutes and conclusions
• Advising on remediation and voluntary corrective measures
• Representing the company in administrative penalty proceedings
• Advising directors and managers on their personal exposure
• Managing the transition where a regulatory matter escalates to criminal investigation

The goal is to keep a regulatory matter administrative and contained. Our lawyers work to close inspections cleanly and to prevent escalation wherever the facts allow.