Regulatory Compliance & Incident Mitigation

Regulators worldwide have stepped up their scrutiny of corporations’ domestic and overseas operations and business development efforts, with an invigorated focus on bribery, kickbacks, anti-competitive behaviour and “pay-to-play” schemes involving government departments.

Organisations are now reviewing electronically stored information (ESI) as part of internal audits carried out to ensure that they are compliant with regulations. Companies that carry out internal reviews of their ESI to detect wrongdoing such as corrupt practices and anti-competitive behaviour will be better-placed to defend themselves.

When Compliance Reviews Are Needed

Kroll Ontrack’s electronic disclosure services and online review tools have been used to support internal audits and compliance reviews triggered by circumstances such as:

• Internal audit into anti-competitive behaviour
• Post-merger due dilligence audit
• Internal audit of business practices following a regulatory investigation
• Investigation into suspected bribery
• Internal audits to check on fraud and theft

Benefits of Kroll Ontrack’s Compliance Review Service

• Access to state-of-the-art searching and early case assessment technology will allow you to analyse your data rapidly using features such as e-mail thread analytics quickly displays e-mail messages in a series of charts and graphs to see who is communicating with whom, when the communication occurred and what subjects were discussed. This allows you to quickly assess the extent of any potential exposure to legal action and the need for remedial action.
• A hosted service allows you and your compliance team to access data online from anywhere and at any time and collaborate, without the need to acquire and manage software.
• A highly cost effective service, which helps you to accurately predict and control the technology costs associated with an internal review and reduce the overall cost of reviewing documents.
• Working with Kroll Ontrack you will have access expert knowledge and experienced consultants to help you design and implement a compliance review and internal investigation suited to your purpose.

Kroll Ontrack’s long-standing reputation for independence and integrity make us uniquely qualified for assisting clients to pro-actively monitor and audit their ESI to mitigate regulatory risks.

Request a Callback from one of our Electronic Disclosure & Evidence experts.

Subscribe Now to our Electronic Evidence Newsletter

+44 (0)207 125 0439 Call now to speak with an experienced Electronic Evidence expert.