Mastering Whistleblowing Investigations - A Guide for Managers in FCA Regulated Firms

Introduction

Whistleblowing is a critical component of a healthy and ethical workplace, especially within FCA-regulated firms.

As a manager or team leader, you may be called upon to investigate sensitive whistleblowing allegations.

Are you prepared to handle these situations effectively and impartially?

This short essential webinar is designed to equip you with the knowledge and skills necessary to conduct thorough, confidential, and legally sound investigations.

Learn how to protect whistleblowers, ensure fairness for all parties involved, and maintain the integrity of your firm.

The webinar will allow you to:

• Enhance your investigation skills: Learn best practices for planning, conducting, and documenting whistleblowing investigations
• Understand your responsibilities: Clarify your role in the whistleblowing process, from initial response to reporting findings
• Protect whistleblowers: Discover how to create a safe environment for individuals to raise concerns without fear of retaliation
• Ensure fairness: Learn how to conduct impartial investigations that protect the rights of all parties involved
• Mitigate risk: Minimise potential legal and reputational risks by conducting robust and compliant investigations
• Contribute to a culture of integrity: Foster a workplace where ethical conduct is valued and protected

It is suitable for team leaders and managers in regulated firms across all sectors of financial services, providing you with an understanding of the UK legal expectations in this area, as well as the practical steps necessary to run a whistleblowing investigation.

What You Will Learn

The webinar will cover the following:

• Understanding your role in whistleblowing cases
• Receiving a disclosure: first steps and key considerations
• Planning a robust investigation
• Conducting the investigation: best practices for interviewing and evidence gathering
• Confidentiality and sensitivity: protecting all parties (Jes Staley case study)
• Reporting and follow-up: documentation and next steps

This pre-recorded webinar will be available to view from Friday 27th June 2025

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