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How to Avoid ‘Internal Investigation Risk’

Internal investigations are an indispensable part of a robust compliance program. When faced with potential misconduct, a company must have the right processes to manage an investigation to resolution.

Moreover, the investigation must facilitate a resolution without compounding risk to the company. The company (or its agents) cannot cross any applicable ethical or legal boundaries. In other words, the cure (the investigation) must not be worse than the disease (the alleged misconduct). Set forth below are suggestions to help ensure an investigation “stays inbounds.”

Plan Ahead

A company should carefully develop, document, and follow its investigations protocol. That’s not to say that every investigation must follow the precise course of action found in the protocol. Rather, the protocol should serve as a guideline to ensure the appropriate investigative response. Among other things, the protocol should...

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