INVESTIGATION. COMPLIANCE. ASSURANCE.
Contact usInvestigations & Compliance
Regulator responses, internal reviews, and compliance assurance — handled with precision.
Designed by former regulators who know the frameworks inside-out.
Practical guidance that keeps pace with business decisions.
Tech-enabled solutions for modern compliance challenges.
“Whether you are responding to a regulator or conducting an internal review, the quality of your process determines the outcome. We bring rigour, legal privilege, and regulatory intelligence to every investigation and compliance engagement.”
How we help
Regulator Investigation Response
Regulatory Notice & Inquiry Management
Internal Investigations
Whistleblower Response & Management
Compliance Testing & Control Assessment
Compliance Program Review
Non-compliance Remediation Plans
Evidence Collection & Management
Investigation Resources
RGC Onside
We optimise your outcomes with AI and technology-driven support, delivering lawyer-led, audit-ready solutions that bring efficiency to legal and compliance outcomes.
See how we deliver
Frequently asked questions
What is RGC's core focus when managing a regulator investigation?
Our focus is establishing a legally defensible foundation immediately. We manage external regulatory inquiries using proven, regulator-developed methodologies — ensuring every submission is precise, legally sound, and strategically aligned with your long-term interests.
Can you conduct internal investigations?
Yes. We conduct independent internal investigations for boards, audit committees, and senior management — covering misconduct, whistleblower disclosures, conflicts of interest, and governance failures. Investigations are structured to maintain legal privilege where appropriate and produce findings that withstand external scrutiny.
What does compliance testing involve?
We assess the design and operational effectiveness of your compliance controls — identifying gaps, testing procedures against regulatory requirements, and providing assurance that your program is fit for purpose. This supports both proactive compliance management and audit readiness.
Can you assist with post-investigation remediation?
Yes. We advise on implementing robust remediation plans, controls, and governance changes that satisfy regulatory expectations and prevent recurrence — demonstrating concrete corrective action to regulators and the board.
