In session 1, we look at key considerations when planning an investigation, including:
- When is the appropriate time to investigate (in matters where there is an on-going police investigation?);
- Who at the law firm will be ‘the client’ for the purpose of giving instructions and receiving advice from external legal advisers?;
- Privilege (including the unique privilege issues specific to law firms in this context);
- Seizing and retaining data/evidence;
- Reporting to the SRA (when is the appropriate time to do so and what are the practical considerations?);
- Communication (starting the comms planning both internally and externally);
- Remediation (what should the firm do at the outset to improve any regulatory outcome);
- The handling of any Professional Indemnity claim(s) and notifying insurers;
- Employment considerations (including the handling of any suspension, investigatory interviews, relevant procedures and policies and planning any internal disciplinary process);
- Data Protection (identifying and mitigating the risk associated with the processing of data (including sensitive data)).
