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Investigations and Enforcement

With the increase of regulatory and legislative change across all industries, internal investigations are increasingly common in most organisations. There can be a range of triggers for internal investigations, including ongoing business monitoring/audits, customer complaints, a whistleblowing report, a requirement by a regulator, or employee fraud.

Internal investigations have become part of good corporate governance, and reinforce the requirement for good culture and conduct by demonstrating that employees will be held accountable for poor behaviour and/or misconduct.

Top three things on the horizon

  1. Anti-money laundering - The efforts of the Financial Action Task Force (FATF) has driven countries into a cycle of continue assessment and evaluation, improvement and enhancements - Read here
  2. Legal privilege – It is important for firms to fully appreciate the nature of legal privilege and what protection it can afford them - Read here
  3. Developing scrutiny from regulators with regards to data breaches in Hong Kong – A number of recent major breaches has raised concerns about the lack of a mandatory notification policy - Read here


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