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Organizations are under increasing scrutiny and unfortunately some have or are dealing with ethical lapses or worse, allegations of fraud. In addition, Fiscal Year 2018 was a record-breaking year for the U.S. Securities and Exchange Commission’s whistle-blower program, as more and more individuals have been coming forward with allegations of impropriety. All this combined with the regulators re-focusing on individual accountability, independent investigations, and compliance makes for interesting times.
Given these trends, companies should be reviewing their protocols regarding how to conduct investigations in a manner that is defensible. Thus, It is critical organizations to have processes in place to triage an allegation, investigate, remediate, evaluate and then enhance their governance, risk management, compliance, and internal audit programs. Failure to conduct an appropriate investigation may lead to significant exposure and disruption to the organization.
In light of the above, on Jan. 23, Baker Tilly along with Morgan Lewis will hosting a 90 minute panel discussion. The panel is planning to focus this discussion on current issues in compliance, board governance, corporate investigations, risk management, and related subjects. The scheduled panelists who all have proven track records of leading important investigations and compliance initiatives are:
Radical Compliance is the personal blog of Matt Kelly, long-time writer and observer of the corporate compliance. Prior to launching Radical Compliance, Matt Kelly was a writer, editor, and publisher at Compliance Week from 2003 through 2015.
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Jonathan T. Marks