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Key Pillars Of Effective Compliance Investigations

Compliance investigations are crucial for effective case management and your overall compliance program. They uncover the underlying drivers of violations, inform corrective actions, and provide invaluable insights to improve the compliance program. Poorly executed investigations can erode employee trust, discourage future reporting, and risk whistleblower retaliation, which is punishable by regulators. It’s important to get them right.

To ensure the integrity and effectiveness of investigations, you need to:

Collect the Information You Need

Start with a thorough input process to set the foundation for effective investigations. Design thorough reporting forms to capture all critical information.

Ensure Objectivity and Consistency

Develop a consistent investigation procedure that ensures fairness and objectivity while allowing flexibility to accommodate the specifics of each case.

Collect Evidence

Gather and organize sufficient evidence to support your conclusions. Maintain well-structured repositories for evidence to enable better informed decision-making.

Communicate with the Reporter

Keep reporters updated to show that their concerns are taken seriously and are being acted upon.

Establish Anti-Retaliation Measures

Protect the data and individuals involved in investigations. Prevent information leaks that could compromise whistleblower identities and lead to retaliation.

Remediate

Properly address and remediate substantiated cases. Publicize actions taken to demonstrate the impact and commitment to compliance.

Conduct Root Cause Analysis

Analyze the root causes of misconduct to address underlying issues and use these insights to enhance the overall compliance program.

Document Every Action

Maintain comprehensive documentation of all steps, evidence, and outcomes to support future reference and regulatory scrutiny.

Share Insights with Management

Provide leadership with insights from investigations to support corrective actions and promote a culture of accountability and fairness.

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The Challenge Of Compliance Investigations

Corporate investigations demand significant time and effort to be completed properly.

Managing large volumes of reports requires thorough triage and prioritization. Compliance teams often face challenges due to lack of resource and expertise gaps in navigating diverse legal and regulatory landscapes across different regions.

Ensuring every report is investigated consistently, fairly, and promptly is important and compliance teams deserve better.

Conducting Corporate Investigations with GAN Integrity

Automated solutions and scalable triage systems are essential for compliance investigations. They ensure effective and efficient investigations, minimizing risk and exposure. That’s why leading organizations around the world rely on GAN Integrity. We help you:

See everything

GAN Integrity provides comprehensive oversight of investigations and case management

  • Effective oversight: A unified platform streamlines case management, ensuring smooth and efficient oversight of all investigations.
  • Embedded insights: Leverage built-in tools to extract meaningful insights and provide comprehensive feedback to the business.
  • Connected data: Integrate investigations with other compliance processes for seamless data connectivity and enhanced issue detection.
  • Documentation and defensibility: Automatically record every compliance activity, providing a reliable reference for future audits and reviews.
GAN Integrity Compliance Investigations
Investigations - Adapt

Adapt to anything

In a constantly changing regulatory and business landscape, GAN Integrity ensures your compliance program is agile and resilient, without the need for costly IT projects.

  • Tailored solutions: Customize workflows to align with your unique organizational needs, facilitating deployment and minimizing disruptions.
  • Complex case management: Efficiently manage complex cases by conducting parallel investigations for thorough examination.
  • Safe stakeholder engagement: Use granular data governance to include relevant stakeholders in specific investigation areas while maintaining security and confidentiality.

Get all the help you need

GAN Integrity offers comprehensive support, automation and resources to ensure your success.

  • Achieve More: Enhance efficiency with automated triage and sorting functionalities, prioritizing efforts on critical tasks.
  • Encourage a Speak Up culture: Foster a culture of openness with an encrypted, user-friendly platform that makes employees feel secure when reporting concerns.
  • Expert Guidance and Support: Leverage our team of specialists for guidance on navigating complex regulations and developing effective investigation processes.
Investigations - Support

Our Solutions

ABAC Program Management Conflict of Interests Management Third-Party Risk Management Disclosure Management Reporting and Documentation

ABAC Program Management

Ensure your organization upholds ethical integrity and ABAC compliance through comprehensive risk assessments, effective policy management, and continuous monitoring. Capabilities include:

  • Third-party due diligence: Mitigate bribery and corruption risks with integrated questionnaires, sanctions checks, and risk intelligence data.
  • Disclosure management: Consolidate and assess conflicts of interest, gifts, travel, entertainment, and political and charitable contribution disclosures.
  • Reporting and documentation: Maintain a complete audit trail and detailed reporting to easily demonstrate compliance to stakeholders and regulators.
Learn more
GAN Integrity ABAC Compliance

The GAN Integrity Platform means all your compliance and ethics programs can be managed in one place - now that's better.

Ready for better? Receive a personalized demo.

Schedule your personalized demo of our solutions to start your journey toward a better way to unify ethics, compliance, and risk management across your enterprise.

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