Internal Investigations


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Opinion

Five best practices for conducting effective investigations

2025-08-25T19:13:00+01:00By David Cole and Michael Mayes, CW guest columnists

Companies face rising pressure to detect misconduct early. Strong internal investigations identify compliance issues, uphold regulations, and protect credibility.

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Opinion

Five best practices for running an effective internal investigations program

2025-08-21T19:59:00+01:00By David Cole and Michael Mayes, CW guest columnists

In today’s complex and rapidly evolving regulatory compliance environment, organizations should have a thorough and effective internal investigations program in place to address any allegations of misconduct.

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News Brief

Communication and relationships is increasingly critical for compliance teams

2025-06-04T20:56:00+01:00By

Compliance is increasingly in the spotlight as companies are tackling everything from artificial intelligence and other new technologies to risk management and mitigation. But it’s soft skills of communication and relationship building that are becoming the most critical tools for success.

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News Brief

PCAOB fines PwC Israel $2.75M amid ongoing sweep for internal training exam cheating

2025-02-27T12:45:00+00:00By

The Israeli affiliate of Big Four audit firm PwC agreed to pay $2.75 million to settle allegations it failed to prevent widespread cheating on training examinations despite internal warnings to staff about an ongoing crackdown.

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News Brief

SEC issues $63M in fines to dozen firms in ongoing off-channel comms sweep

2025-01-15T16:24:00+00:00By

Twelve more firms have been dinged with fines by the Securities and Exchange Commission for failing to properly supervise employees who used off-channel communications to conduct company business. In this latest round of enforcement actions, nine investment advisers and three broker-dealers will pay a total of $63 million.

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News Brief

SEC slams WWE founder Vince McMahon for misstatements caused by hush money payments

2025-01-10T18:03:00+00:00By

Vince McMahon, the founder and former CEO of WWE, was fined $400,000 and ordered to reimburse the wrestling giant more than $1.3 million to settle charges brought by the Securities and Exchange Commission that he failed to disclose hush money payments he made on behalf of himself and the company.

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News Brief

Portuguese bank ousts chief risk officer after ‘suspicious’ transactions uncovered

2025-01-08T17:13:00+00:00By

Portuguese bank Novo Banco, S.A., fired Chief Risk Officer Carlos Jorge Ferreira Brandão “with just cause” after an internal probe discovered “suspicious financial transactions” in his sphere.