Financial Services Resource Center for HR: Internal and External Investigations

This item is part of Financial Services Resource Center for HR

Employers in the financial services industry are familiar with the importance of conducting candid, thorough, unbiased internal investigations. These investigations are critical to employers in the industry given their requirement to comply with federal and state legislation pertaining to insider trading, financial disclosure information or handling employee whistleblowers, who may be protected by federal and state legislation from suffering retaliation for their activities. In some situations, employers may have to comply with external requests or demands for cooperation in an investigation, working with government regulatory and law enforcement agencies as they investigate claims of unlawful activities.

XpertHR has robust materials pertaining to conducting internal investigations, documenting findings, taking action on results and working with outside agencies as they conduct investigations: