How to manage a Section 166 or regulatory investigation

Interactions with the regulator can take many forms – from participating in a thematic review, or receiving a tailored set of questions, to a full-blown s166 investigation. And in these interactions, firms seriously underestimate the extent to which their responses and actions will influence the outcome – both positively and negatively.  Therefore, firms should take any regulator interaction seriously, seek professional advice where it is needed, and consider carefully the choices they make.   

 Our special report describes the techniques and approaches firms can use to significantly reduce the risk that:

a) an initial enquiry from the regulator will lead to a s166 investigation; or 

b) a s166 investigation will go badly and lead to an increase in remediation and redress requirements.

Download the paper by filling in the form below.

At Auxillias we have long experience of the s166 process, and can provide you with upfront advice, and ongoing support through the investigation. Our consultants, such as Frank Brown, have worked as s166 Skilled Persons, and they know that firms under investigation who have good professional advisors supporting them have a far easier time of it.

If you would need further guidance, advice or support on the s166 process or indeed anything else - please contact us to schedule a no-obligation 30 minute chat.