Investigations

Effective Breach (or Potential Breach) Solutions

Regulatory breaches concern all businesses. At Regulation & Compliance Office, our experts offer impartial investigation services for the purpose of reviewing breaches (or the potentiality for breaches) and can assist your business in establishing the following:

• If and when a breach occurred
• The cause of the breach
• If and how the breach could have been prevented
• Subsequent action that should be taken
• Solutions to be implemented for the future

Whether due to an internal report or to a regulator’s involvement, the sooner a business is able to commence the investigation into a breach, the more positive the outcome tends to be.

These types of regulatory investigations can be lengthy, depending on the particular issues involved. Our approach, however, is effective and designed to minimise any disruption to the business, as well as cost, through fees or diversion of resources.

When a report to a regulator is appropriate, we will prepare the report on the business’s behalf. We can also engage with the regulator on the business’s behalf.

We report directly to the senior management to provide solutions and outcomes which will enable you to take the necessary rectification actions. These will then need to be implemented to minimise any breaches’ impact and prevent reoccurrence.

Whether working independently or as part of an internal investigation team, we operate on a confidential basis and provide additional resources and expertise where needed.

To enquire about our services and how Regulation & Compliance Office can work with your business, call us on 0203 985 8550 or email us at info@regulationandcomplianceoffice.co.uk