Course Details

Objective

By the end of the course, participants will be able to understand

• Understand the fundamental principles of compliance investigations.
• Learn how to plan, initiate, and conduct a thorough compliance investigation.
• Gain practical skills in interviewing witnesses and suspects.
• Develop the ability to gather, preserve, and analyze evidence in compliance cases.
• Understand legal frameworks and ethical standards relevant to compliance investigations.
• Learn how to document findings and prepare reports for management, regulators, or law enforcement.
• Develop strategies for managing confidentiality and minimizing legal risks during an investigation.

Content

Day 1: Introduction to Compliance Investigations

• Overview of compliance investigations: Purpose, scope, and types of compliance violations.
• The role of compliance professionals in investigations.
• Understanding the regulatory and legal framework (e.g., FCPA, GDPR, anti-corruption laws).
• Ethical considerations and confidentiality in investigations.
• Key stakeholders and the importance of maintaining objectivity.

Day 2: Planning and Initiating Investigations

• Setting objectives for a compliance investigation.
• Creating an investigation plan: Key steps, timelines, and resources needed.
• Identifying potential risks and issues in the investigation process.
• Conducting preliminary assessments: Gathering initial information.
• Legal considerations: When to involve law enforcement or external experts.

Day 3: Investigative Techniques and Evidence Collection

• Interviewing techniques: How to interview witnesses, suspects, and other stakeholders.
• Identifying and preserving evidence: Physical, digital, and documentary evidence.
• Conducting forensic analysis: Using digital tools for data extraction and review.
• Managing chain of custody and ensuring evidence integrity.
• Detecting red flags and inconsistencies during interviews and evidence review.

Day 4: Analyzing Findings and Reporting

• Analyzing and evaluating evidence: Identifying patterns, contradictions, and gaps.
• Documenting investigation findings clearly and concisely.
• Writing a comprehensive compliance investigation report.
• Making recommendations for corrective actions and preventive measures.
• Preparing for possible outcomes: Legal actions, regulatory reporting, or internal disciplinary measures.
• Best practices for presenting investigation results to senior management or external authorities.

Day 5: Managing Legal Risks and Finalizing Investigations

• Identifying potential legal and reputational risks in compliance investigations.
• Ensuring compliance with labor laws, privacy laws, and whistleblower protection regulations.
• Coordinating with legal teams and other departments during an investigation.
• Finalizing the investigation and ensuring proper closure and follow-up.
• Preventive measures: How to mitigate compliance risks based on investigation findings.

NOTE:

Pre-& Post Tests will be conducted.

Case Studies, Group Exercises, Group Discussions, Last Day reviews, and assessments will be carried out.

Methodology

A highly interactive combination of lectures and discussion sessions will be managed to maximize the amount and quality of information and knowledge transfer. The sessions will start by raising the most relevant questions and motivating everybody to find the right answers. You will also be encouraged to raise your own questions and to share in the development of the right answers using your own analysis and experiences.  Tests of multiple-choice type will be made available on daily basis to examine the effectiveness of delivering the course.

Very useful Course Materials will be given.

• 30% Lectures
• 30% Workshops and work presentation
• 20% Group Work& Practical Exercises
• 20% Videos& General Discussions