Conducting Effective Regulatory Investigations

The corporate compliance and regulatory landscape is a tangled mess. Many organizations simply don't have the time or resources to adequately deal with every compliance risk that threatens their business or industry.

Our experts will help your organization identify the most significant compliance risks and help you to build a strategy to address those threats directly.

Ensure Compliance with Ongoing Regulatory Investigations

Compliance risks are an ever-present threat to businesses of all types and sizes. Whether you are subject to the most frequent topics of regulatory compliance, or simply don’t have the resources or time to deal with compliance issues, our experts will help you eliminate this threat so you can focus on the most important parts of running your business. Regulatory non-compliance costs businesses billions of dollars in losses each year. Our exceptional investigation team empowers organizations to see compliance risks that they did not realize existed. Then we'll help lay out a comprehensive strategy to eliminate those risks saving you both time and money.  

Compliance investigations are a necessary part of company policy for many firms. They can also be incredibly time-intensive. With regulatory agencies world-wide increasing the scrutiny of financial institutions and corporations’ activities, companies must maintain a proactive compliance program or face criminal action. This includes antitrust and competition, business ethics, data privacy, anti-money laundering, environmental regulations, financial services, privacy laws, and even securities. Failure to do so can trigger civil action or even criminal investigation. Given the fact that federal agencies have promised increased enforcement in the coming years, it is more important than ever for organizations to address each regulatory risk before it becomes a violation of law.

How We Help

Our Approach:  

  1. Understand your current situation   
    We start by understanding what risks you face today. This includes identifying any existing regulations, laws, policies, procedures, contracts, etc., which could impact your company in the future.  
     
  2. Develop an actionable strategy   
    Once we understand your risk profile and how it is currently being managed, we can develop a plan to help mitigate those risks while ensuring that they are not impacting your business negatively. We will work with you on this process so that you have complete ownership of the outcome. 3) Implement solutions - Once we know where you want to go, we will implement strategies designed to get there. These may include new processes or technology, but more often than not involve some combination of both.  
      
  3. Implementation  
    During implementation, we'll monitor progress against milestones and deliverables as defined within the project scope. If problems arise during monitoring, we'll provide recommendations as needed. Our goal to ensure that the results meet the expectations of everyone involved.  
     
  4. Monitor / Report progress   
    Once implemented, we'll continue to track performance throughout the life cycle of the solution. To measure success, we provide regular reports detailing key metrics such as regulatory filings, audits, legal actions, fines, settlements, etc.  

 

We believe that every organization has unique needs and challenges. Our goal with every investigation is to provide customized services tailored specifically to your industry and/or organization. With wide ranging experience  

Industries we serve:  

  • Financial Services  
  • Human Resources  
  • Pharmaceutical
  • Construction Companies  
  • Public Companies  
  • Healthcare  

Expert Risk Analysis

By working directly with your stakeholders, law enforcement, cybersecurity professionals and industry experts our risk analysis team can determine the likelihood of any particular threat, prioritize action plans, recommend appropriate security measures implement solutions, and when necessary, conduct penetration testing to ensure resiliency. Data and facts should be your be your source of truth when implementing or improving new security systems or frameworks, that's why we've made it so easy to get started. Here's how:

Regulatory Investigations icon
01

Schedule a Strategy Call

Our first job is to gather as much information as possible about your organization's unique challenges and concerns.

step-2-create-plan
02

Create a plan

After studying the problem, our team of experts will get to work crafting a bespoke strategy that protects all aspects of your business, and enables continued growth.

step-3-execute
03

Let’s execute that plan together

We’ll work directly with you and your stakeholders to implement and manage your new strategy, helping you navigate any pitfalls along the way.

What are you waiting for?

Let's Talk!

Testimonials

Once the decision was made to renovate the entire property's electric security system, Chesley Brown began developing specifications and identifying prospective bidders. After this was accomplished, Chesley Brown was with us to manage the bid process, award the bid and oversee the installation of the new system.

General Manager

Office Complex, Georgia

Our unique property required a firm that tould customize a security management program that addressed our property's individuality. Chesley Brown was the only firm that had the flexibility and experience to make it happen.

General Managed

Regional Shopping City, Missouri

Frequently Asked Questions (FAQ)

Our corporate partners often have lots of questions. We have gathered the most common ones together with responses directly from our team of experts. If you have ever wondered whether your company or organization needs a corporate investigator, this will hopefully help you find the answers you need.

Compliance investigations is a form of internal audit. The goal of these types of internal investigations is to identify any potential regulatory compliance issues within an organization so they can be addressed prior to becoming violations of law. These investigations allow an organization to determine if there are any gaps in its current systems which could lead to regulatory or criminal penalties by a given regulatory or law enforcement agency. Companies can use this information to improve the overall effectiveness of their compliance programs, security policies, and/or legal systems.  

Strategically, compliance investigations can help an organization understand the regulatory landscape of a specific industry by identifying potential compliance issues prior to a merger or acquisition. If there is an environmental incident, a security incident, or a regulatory violation, our team will help you better understand what happened, audit your operations, and develop a compliance and training program that will protect you into the future.  

A Chesley Brown Investigator can help you: 

  • Identify Potential issues before a merger or acquisition 
  • Develop an effective training program for employees and managers 
  • Assess internal controls to ensure that there are no gaps in current systems 
  • Ensure that all policies & procedures have been adopted by management 
  • Provide ongoing support during any enforcement actions  

To accomplish any company’s goals, employees must comply with the laws and regulations that govern their areas of operations. This is especially true in the financial sector, which operates in a highly regulated environment and is often subject to scrutiny on a day-to-day basis. Companies in these industries must employ compliance monitoring and management to ensure that the organization complies with all applicable laws and regulations on a continuous basis.  

Compliance regulations help businesses maintain that “one size fits all” environment that is necessary for creating a profitable company. By following these regulations, businesses are helping to ensure that they are fair in their practices, which keeps consumers confident in purchasing goods and services.

A compliance investigation can be documented in many different ways, depending on the situation. It is important to determine which type of investigation you are conducting in order to decide on the best way to document it.  

If there has been an allegation of misconduct, the investigation should focus on collecting enough evidence to determine whether or not it occurred, and if so, who was behind it. In the event that the misconduct occurred, the person who is in charge of the investigation should keep a record of all evidence found and from where it was found. Sometimes a report is produced at the conclusion of an investigation outlining the findings, however, this is not always the case. 

Compliance investigations are based on the specific legislation in question. There are some statutes that are more open-ended or vague, while others are procedural in nature. Without knowing the specifics of the legislation, it is difficult to estimate how long a compliance investigation may take. The average investigation can take anywhere from just a few days to months. This depends on the type of investigation being undertaken, the number of witnesses being interviewed, and any forensic evidence that may be needed to verify facts. If there are more people involved in the investigation, it will take longer. If the facts are more complex, it will take longer. A range of time can be anywhere from 3 weeks to 6 months.  

A regulatory compliance investigation will allow a company to better understand what regulatory risks they face, and identify solutions for avoiding the adverse actions of non-compliance.   

If a company makes a commitment to conducting investigations when evidence of a regulatory violation is found, they are less likely to face a government investigation or harsh disciplinary actions. Internal investigations are beneficial to a company because it can give them insight on fixing future problems and an opportunity to show they followed the company's regulations and procedures.

Additional Resources:

Risk Takers Podcast Series Episode 1 - Aldrich Ames Spy Case
https://chesleybrown.com/the-risk-takers-podcast-series-launches-today/

Risk Takers Podcast Series Episode 1 - Surveillance Detection Routes (SDRs)
https://chesleybrown.com/the-risk-takers-podcast-series-launches-today/

Safe Passage / Safe Travel
https://chesleybrown.com/corporate-investigation-services/safe-passagetravel/

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