Institutions Intro
How we help
institutions
Institutions Intro
How we help
institutions
With the knowledge and insight gained from 20 years as external and in-house senior counsel, including as EMEA Head of Litigation, Enforcement & Investigations, Harriet Parsons’s value add for corporate clients is both technical and practical. Her time-tested perspective is a key advantage for her corporate clients as she candidly advises on exposures, risk management, conduct, strategy, settlement and resolution. With an extensive network of experts and advisors, and our strategic partnership with global eDiscovery specialists Consilio (http://uk.consilio.com) we offer a uniquely flexible, high quality and cost-effective solution.
As your partner, Harriet and her team provide steady counsel and advice, as well as the following services:
- Dedicated legal resource, working on-site or remotely
- Crisis management
- Advice on governance, strategy, internal and external communications in relation to legal and regulatory exposures
- Litigation, enforcement and investigations advice, management and communications
- Document review and management
- Legal support for regulatory reviews, remediation/risk management programmes
FROM FIRST IDENTIFICATION OF A POTENTIAL ISSUE, WE WILL:
- Consider and advise on potential exposures, including civil, criminal, regulatory and reputational risk;
- Advise on structuring and resourcing an investigation or litigation response, to ensure proper conduct, governance, reporting and conflicts management;
- Liaise with appropriate internal and external stakeholders (including senior management and relevant external authorities);
- Where required, source and facilitate appropriate external advisors, experts and external service providers;
- Conduct an investigation, from information-gathering (interviews, document retrieval and review) to reporting (internally and to appropriate external authorities);
- Assist with internal reporting, reserves and legal/operational risk management processes;
- Provide legal and strategic counsel and draft materials for external reporting, correspondence and formal submissions;
- Assist with preparation of statements and/or for regulatory interviews;
- Assist with reputation management, including press, client and market communications.
CRISIS MANAGEMENT
Even in the best-managed businesses, material issues can and do arise. Effective crisis management is critical to mitigation of risks, an early understanding of issues and the development of an appropriate and viable strategy for handling those issues.
In the initial stages of a crisis, HSPL can deliver valuable resource and expertise, immediately partnering with you on-site or working remotely. We will advise on emerging exposures and on the investigation and reporting of issues, ensuring that internal resources are leveraged effectively, the matter is subject to good governance and conflicts are appropriately managed. We will also provide counsel on and facilitate any necessary external resources and assist with appropriate internal and external communications.
INVESTIGATIONS
Early identification and effective risk management of issues can materially improve the outcome of an investigation. An investigation that is well-managed, expertly conducted, subject to good governance and reported appropriately can result in mitigation of substantial financial, regulatory and reputational exposure, as well as spiralling costs.
The HSPL team handles a wide range of complex, multi-dimensional legal matters. We immediately address the risks and manage the complexities arising from internal and external regulatory investigations and enforcement actions. Our goal is to serve our clients from first identification through to settlement or contested proceedings. We understand the challenges that institutions and individual executives encounter when faced with a major compliance breach, regulatory investigation and/or potential prosecution. Over twenty years with major international firms, Harriet has dealt with cases concerning systems and controls issues, market conduct issues, client assets, internal and external fraud, corruption, financial crime and money laundering, anti-trust and market abuse, many involving parallel civil litigation, criminal and/or regulatory investigations and proceedings. She has worked on special situations across continents – Asia, Africa, Latin America, North America, Europe and Australia.
REGULATORY REVIEWS
Thematic reviews, market studies, s.166 reviews and attestations form a significant part of the FCA’s approach to supervision. Such reviews can be broad and subject to tight deadlines, placing a strain on available internal resources.
HSPL can assist, collaborating effectively with management, internal control functions and external advisors, providing experienced legal support, on-site or remotely. We will advise on scoping, governance and oversight, information management and delivery, including effective communication with internal and external stakeholders.
LITIGATION
Major litigation can present a number of challenges to institutions of whatever size. As well as the obvious financial and reputational exposure, the costs of defending or pursuing litigation, both in terms of legal fees and management time can be enormous, and at various points the process can stretch in-house legal resources.
HSPL provides a flexible resourcing solution, able to work on-site or remotely, supporting in-house counsel and facilitating external counsel, experts and professional services providers.