What to expect during an internal investigation

The internal investigation is a strategic instrument of governance and risk management. In a corporate or non-profit environment, it makes it possible to identify and correct compliance gaps, before they degenerate into a public crisis or government intervention. Whether initiated preventively or in response to allegations, the investigation generally follows a structured process, guided by the principles of due diligence and confidentiality.

When should an internal investigation be launched?
An internal investigation should be considered as soon as a suspicion emerges
misconduct or organizational misconduct. Among the
Reasons, note:

• Contravention of laws or regulations applicable to the industry;
• Failure to comply with internal policies or ethical standards;
• Committing criminal acts in the workplace;
• Allegations of harassment or bullying;
• Security breaches or information leaks;
• Fraud, theft or misuse of resources;
• Irregularities in remuneration or benefits.

Business intelligence also suggests taking action when a regulatory authority
Addresses similar issues in the industry or where a scandal at a competitor could expose your organization to a comparable risk.

Conduct of an internal investigation

Methodical planning of the survey is crucial. Typical steps include:
1. Contextual research, including compliance checks
digital;
2. Collection, preservation and analysis of documents;
3. Conducting confidential interviews with the persons involved;
4. Audit of communication systems;
5. Legal analysis of the facts found;
6. Development of a remediation and compliance plan;
7. Interactions with administrative or judicial authorities, as appropriate;
8. Recommendations for litigation or disciplinary action;
9. Crisis communication supervision (public relations).

Why Prioritize a Proactive Investigation?

The advantages of such an approach are multiple, including:

• Measure the true extent of the problem before it escalates;
• Prevent the recurrence of organizational failures;
• Recover assets or limit financial losses;
• Avoid criminal prosecution or invasive regulatory investigation;
• Cooperate effectively with the authorities in a proactive posture;
• To reduce sanctions and demonstrate institutional good faith;
• Protect senior executives from prosecution;
• Reduce the impact on the organization’s reputation;
• Prepare the defense in case of future litigation;
• Establish an organizational culture of integrity and transparency.

Duration and logistics of an investigation

The length of an investigation varies depending on its complexity. An effective approach
Requires:
• An immediate freeze on relevant information;
• A clear identification of the persons responsible for the investigation;
• A governance framework that ensures the independence of the investigator;
• A controlled and adapted internal communication strategy.
A. Interviews: vigilance is required
During interviews, it is important to clearly inform employees that lawyers
Investigators represent the company, not individuals. This clarification is
particularly with regard to professional privilege, which
belongs to the organization.
B. Final Report: A Decision-Making Tool
At the end of the investigation, a report is submitted to the management. It documents the facts, analyses and recommendations. This report can be used as a basis for disciplinary decisions, internal reforms or legal proceedings.

Why use an independent investigating lawyer?

The use of external counsel has several advantages: perceived neutrality, specialized competence, confidentiality of communications, mastery of normative frameworks (municipal, provincial, federal) and the ability to engage effectively with regulatory bodies.

Contact abg&cj

Our firm intervenes in sensitive situations requiring rigour, discretion and responsiveness. We assist you in the execution of internal investigations involving fraud, governance, compliance or economic crimes . Our lawyers ensure a minimally disruptive and results-oriented intervention. We act diligently.

Contact us
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