Internal investigations are typically undertaken in response to possible employee misconduct. The objectives of the investigation are to put the matter to rest by determining whether wrongdoing occurred and, if it did, the appropriate corporate response, ranging from sanctions on the employee (up to and including termination), to disclosure to one or more government agencies and shareholders, and remedial actions to deter and detect such misconduct in the future.
To achieve these vital objectives, one touchstone above all others should guide the internal investigation: it must be reliable and credible, and must appear so, to the various audiences who will judge and rely on its conclusions. Depending on the issues considered, these audiences include the company’s senior executives and directors, the shareholders and debt holders, lenders and outside auditors, and regulatory, civil and criminal authorities.
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