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Investigating potential violations of law, responding to whistleblowers and mitigating associated ethical dilemmas

Author

Listed:
  • Bondi, Bradley J.
  • Chryssikos, Paul T.
  • Wheatley, Michael D.

Abstract

Financial companies and companies with a global footprint face increased regulatory risks and must respond appropriately when faced with suspected misconduct. A company’s response to suspected misconduct is crucial, because an inappropriate or insufficient response could expose the company, its directors and its management to regulatory enforcement actions, private civil litigation and reputational damage. Often, a company’s response includes conducting an investigation led either by management or by an independent committee of the board of directors. This paper discusses relevant considerations and general best practices for investigating suspected misconduct, including guidance for determining when a legal department should recommend that an independent committee of the board of directors conduct an independent investigation. This paper also discusses how to respond to whistleblowers and ethical issues that commonly arise in internal investigations.

Suggested Citation

  • Bondi, Bradley J. & Chryssikos, Paul T. & Wheatley, Michael D., 2018. "Investigating potential violations of law, responding to whistleblowers and mitigating associated ethical dilemmas," Journal of Financial Compliance, Henry Stewart Publications, vol. 2(2), pages 111-120, December.
    • Handle: RePEc:aza:jfc000:y:2018:v:2:i:2:p:111-120
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    More about this item

    Keywords

    internal investigations; audit committee; general counsel; board of directors;
    All these keywords.

    JEL classification:

    • G2 - Financial Economics - - Financial Institutions and Services
    • E5 - Macroeconomics and Monetary Economics - - Monetary Policy, Central Banking, and the Supply of Money and Credit
    • K2 - Law and Economics - - Regulation and Business Law

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