Since the financial crisis, the evolving legal and regulatory environment has sharpened the focus on individuals.  Regulators and enforcement agencies across the globe are demonstrating a determination to ensure individual accountability.  Of course, issues arise and are investigated and reported as a necessary part of the BAU environment, as is to be expected in one of the world’s most highly regulated industries.  In some situations, you may be entitled to independent representation, and to be indemnified by the firm for the cost of that advice. 
 

HSPL PROVIDES CANDID, FORWARD-THINKING LEGAL AND STRATEGIC COUNSEL, FOR EXAMPLE:

• We can assist with considerations arising on initial appointment to a senior management function, including in relation to oversight responsibilities generally, statement of responsibilities and preparation for regulatory interviews.  
• In the context of internal or external investigations, HSPL can advise and assist you in navigating the complexities arising - which can be highly nuanced, particularly while in post. 
• In the event of an enforcement investigation, we will represent your interests, working effectively with the firm and its advisors and engaging with external authorities, in your best interests.
   

As your trusted advisor, Harriet will leverage her extensive understanding of the external regulatory and internal control framework within which you work.  Her wealth of experience makes her uniquely qualified to advise individuals facing investigation and enforcement. 
 

A career insider, Harriet has a keen appreciation for:

• The inner workings of corporate entities, and a practical understanding of how investigations work;
• The drivers for enforcement in these situations;
• The role the senior manager must play and how to best mitigate personal exposure