31 Days to a More Effective Compliance Program - Investigative Challenges

Thomas Fox
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What are some of the top challenges you may well face during an investigation? Beyond the basics, a company must consider the intake process as a starting point, which Jonathan Marks noted is one of the biggest challenges. Rather surprisingly, he noted there are still companies without a hotline or anonymous reporting system, stating “we still see organizations whereby there is no formal ethics hotline except for the fact that they might send an email to some member of management or some member of the See more +
What are some of the top challenges you may well face during an investigation? Beyond the basics, a company must consider the intake process as a starting point, which Jonathan Marks noted is one of the biggest challenges. Rather surprisingly, he noted there are still companies without a hotline or anonymous reporting system, stating “we still see organizations whereby there is no formal ethics hotline except for the fact that they might send an email to some member of management or some member of the Board.”

Planning your investigation, having the right team members involved and meeting the challenges which inevitably arise during an investigation can be difficult. However, beginning with the DOJ’s 2015 Yates Memo, the 2016 FCPA Pilot Program, and the 2017 and 2019 versions Evaluation of Corporate Compliance Programs, together with the 2020 Update and FCPA Corporate Enforcement Policy, the pressure on every CCO and company to get an investigation done quickly, efficiently and, most importantly, right is even greater now. Marks has laid out a concrete way for you to think through how to plan an investigation, staff it properly and meet the inevitable challenges.

Three key takeaways:

The intake process may seem the most straight-forward but many companies drop the ball at this initial step.

You must never retaliate against employees who come forward in good faith.

Always think several steps ahead. See less -

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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