Financial Crime Investigations - Compliance & Confidentiality Considerations for Law Firms

Introduction

Financial crime investigations into law firms are on the rise, so it is essential that you know how to respond when a law enforcement authority advises that you are under investigation, and that they want to come in.

Authorities may request access to client files to investigate whether the client, or your employee has committed an offence. This webinar will discuss what your rights are in such circumstances, what documents are covered by a Production Order and whether legal professional privilege applies.

Presented by expert speaker Mandy Hargun, this session will offer advice on how to maintain confidentiality whilst comply with a financial crime investigation, making it ideal for compliance officers, MLROs, partners and law firm owners.

What You Will Learn

This webinar will cover the following:

• Law Society guidance
• Enforcement action and powers of investigation
• Criminal and civil liability risks if you get this wrong
• The SRA involvement
• Legal professional privilege and where it applies
• The crime/fraud exception in relation to legal professional privilege
• Best practice on developing an escalation procedure when making an internal suspicious activity report

This webinar was recorded on 16th October 2023

You can gain access to this webinar and 1,700+ others via the MBL Webinar Subscription. Please email webinarsubscription@mblseminars.com for more details.