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Compliance investigations, step by step

Gail Gibson (gail@yesterdayspeople.com) is a senior compliance lecturer from Juta, South Africa, and the author of The A-Z of GRC: Governance, Risk & Compliance Simplified and Project Management for Compliance Officers.

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Businesses regularly confront allegations of internal misconduct. These allegations can involve breaches of the law or the business’s policies or procedures. The first basic step is to determine if a misconduct allegation has merit and if a comprehensive investigation is required. The compliance officer, human resources management, privacy and security officers, legal counsel, and others may bear responsibility, either individually or collectively, to resolve issues and problems arising from concerns, complaints, and allegations.

If the compliance function receives the whistleblower complaints, then the compliance process begins with the steps to determine if an investigation is needed, the cost effectiveness, and in which area the steps required should be done.

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