One of the most important elements of an effective compliance and ethics program is the manner in which an entity or organization handles compliance or ethics issues when they arise. From the initial issue intake process through data gathering and personnel interviews, to the final determination of potential discipline and program improvements, an organization needs to carefully craft its internal investigation and responses with consideration of many different stakeholders and elements. These may include, among other things, personnel, customer, and external regulator perceptions and preservation of applicable privileges.
Ankura’s team of compliance and ethics professionals advises clients on structuring and managing their internal investigations process to obtain the most effective and beneficial results while avoiding the landmines and pitfalls that can occur in the internal investigation process. In particular, Ankura: