Overview

Surprise inspections by governmental authorities are on the rise. Licensed intermediaries and registered institutions may be on the receiving end and obstructing a lawful raid is a criminal offence. Therefore, front line staff such as Reception and Security, through to the IT team, business units, legal and compliance staff and management, need to know how to react and what information to provide.

Drawing on practical experience, the speaker will provide a step-by-step approach, as well as mentioning relevant rights and powers, to deal with a raid by the Government authorities.

Objective

By the end of the seminar, participants will gain a better understanding of the scope of the Government authorities’ investigative powers and how to deal with “dawn raids’.

Content

- Investigative powers of the Government authorities
- What is a dawn raid and how to deal with them
- Rights of a suspect and witness
- Legal professional privilege
- Preventing the triggering of an investigation

Who should attend

Senior Management, Responsible officers, Executive officers, Legal and Compliance staff and any licensed holders.