Compliance Investigation



Companies are increasingly adopting compliance programs that deal with conflicts of interest, corruption and similar integrity issues. Corruption and fraud are risks that could potentially have significant impact on a company's bottom line and reputation. This is particularly true for companies operating in some developing countries where corruption is known to be widespread.

Gunma has the skills, experience and resources to discretely assist companies and their compliance officers in the investigation and risk management of potential contraventions of their compliance policies.

All cases will be stamped, logged, and numbered as part of records management. All complainants will be fully debriefed as to the basis of their allegations, concerns, and complaints. All facts will be gathered promptly before memories fade and the intrusion of intervening events. The process of conducting the investigation always consist of a fair and impartial review of all relevant facts. Gunma always includes management’s views as part of the report and not rely solely upon representations of staff. The investigators in Gunma are trained to remain “low key” in the approach and to be discreet in gathering pertinent facts. In a confined work environment, it is easy to “telegraph” information about the investigation that could easily undermine its effectiveness. In conducting reviews and other investigative steps Gunma uses copies, not original documents. Original documents will remain under lock and key. All evidence obtained during an investigation will be tracked so that it is never outside of the control of the investigation. This is referred to as maintaining “chain of custody”. Failure to maintain the chain of custody may cause evidence to be excluded in a formal adjudicative process.