A cross-office team of attorneys in Ropes & Gray’s government enforcement practice co-authored two chapters for Global Investigations Review’s “Practitioner’s Guide to Global Investigations.” The comprehensive guide examines how companies should approach each stage of a corporate investigation.
The chapters consider the advantages and disadvantages of self-reporting in the U.S. and the U.K., including how the manner and timing of a self-report can make a crucial difference to mitigating potential penalties that might be imposed.
The U.K. perspective on self-reporting is examined by government enforcement partner Amanda Raad and former associate Katerina Sandford. The chapter discusses guidance from the Serious Fraud Office (SFO) and Financial Conduct Authority (FCA), and highlights critical considerations in information handling, including if and when to report to a company’s board, and advantages and disadvantages of self-reporting to regulators.
The U.S. perspective on self-reporting is examined by government enforcement partner Amanda Raad and associates Sean Seelinger and Jaime Orloff Feeney. It discusses mandatory and voluntary self-reporting approaches, DOJ cooperation credit, the impact of the Yates memo and role of the FCPA Pilot Program. It also examines SEC cooperation credit, and risks to voluntarily self-reporting, as well as those associated with a decision not to self-report.
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