IBA Corporate Group Member Summit

25 Apr - 26 Apr 2017

Session information

When the Regulator comes knocking: Do's and Don'ts

Wednesday 26 April (1145 - 1245)


Corporate Counsel Forum (Lead)


Companies face an expanding kaleidoscope of regulatory requirements, both from home and abroad. Against this backdrop, how can GCs ensure that their businesses are adequately equipped to handle regulatory investigations? Are there approaches which could make investigations easier to handle, such as good data management or compliance communications, that could be factored into day-to-day business practice? What do the regulators themselves regard as good and bad practice in their engagement with those they are investigating? Most importantly, what can GCs do to encourage a culture that supports compliance and avoids the need for the regulator to call?