Advising and representing whistleblowers in corporate and criminal investigations: reporting options, SOCPA immunity, SARs obligations, conflicts, privilege and interview strategy

Published by a LexisNexis Corporate Crime expert

Practice notes

This Practice Note offers guidance for lawyers acting for whistleblowers in criminal investigations. For employment law aspects of whistleblowing, see: Whistleblowing—overview and, in particular, the Practice Notes: Entitlement to claim whistleblowing, Whistleblowing—protected disclosures, and Whistleblowing defences and exceptions. Advice on responding to a whistleblower when representing a company or organisation is set out in Practice Note: Dealing with a whistleblower in internal criminal investigations.

To blow the whistle or not to blow the whistle?

Employees who choose to speak up are protected under the Employment Rights Act 1996 (ERA 1996) where the disclosure is a ‘protected disclosure’. For further detail on the statutory regime and what amounts to a ‘protected disclosure’, see Practice Note: Whistleblowing—protected disclosures. For those working in financial services, safeguards exist to ensure individuals raising ‘reportable concerns’ are not victimised. For more, see Practice Note: Whistleblowing—UK regulatory issues.

Preliminary considerations

Whistleblowing can be a key means of reducing potential risk for employers, which is why many have formal whistleblowing policies and procedures. By way of example, and prompted by criminal legislation such as the Bribery Act 2010, Criminal Finances Act 2017 and Economic Crime...

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Ben Cooper

TLT

Ben leads TLT's economic crime team and has over 20 years' experience advising governments, financial institutions, corporates and individuals on all aspects of economic crime. This includes advice on money laundering, sanctions, tax evasion, bribery and corruption, terrorist proliferation financing, corporate ethics, asset tracing, fraud, complex investigations and criminal proceedings. Ben also has extensive experience assisting clients to develop, implement and operate global economic crime compliance programmes utilising his experience in senior compliance roles for HSBC, Global Head of Financial Crime Functions and Global Head of AB&C.Ben also worked for the Asset Recovery Agency and Serious Organised Crime Agency (now the National Crime Agency) and so is uniquely placed to advise clients on handling enquiries and investigations from law enforcement agencies....

Chantal Stroker

Partner, TLT

Chantal specialises in contentious financial regulatory work, litigation and legal project management. She is a Leading Partner in The Legal 500 and TLT’s EDI Champion. Chantal has been instrumental in developing TLT’s Financial Services Investigations and Contentious Regulatory practice from a standing start in 2017, into the market leading practice it is known as today. That practice handles some of the most significant and reputationally sensitive investigations and projects across the industry for an impressive and ever-growing client base.She is a disrupter in the market, being recognised as providing magic circle/City quality and experience out of the region. She has extensive experience advising financial institutions on FCA enforcement investigations, internal and whistleblowing investigations. She routinely advises on the SMCR, the FCA and PRA Code of Conduct and fitness and propriety issues.Chantal has advised financial institutions in connection with a range of issues...

James Chadwick

Partner and Head of Financial Regulation and Disputes Group, TLT

James specialises in financial services litigation and contentious financial regulation. He is recognised as a leader in the field in The Legal 500 and widely regarded by his clients as the premier financial services litigation, contentious regulatory and investigations lawyer in the northwest. He is now the national Practice Group Head of TLT’s Financial Regulation and Disputes Group. Described as “fast becoming the go-to banking litigation partner in the UK, not just the North”, James specialises in financial services litigation and contentious financial regulation. He was shortlisted as Dispute Resolution Lawyer of the Year at The Legal 500 Northern Powerhouse Awards 2025. He has extensive banking experience and has advised some of the most high-profile UK regulated firms on key issues affecting their portfolios including the implementation of the Consumer Duty (for which James is TLT’s Consumer Duty Champion), crisis response to widely...

Web page updated on 21/05/2026

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