Internal Investigations

Should be conducted when:

  • A report of an examination is received from regulators

  • Third party information is received

  • Surveillance of monitoring systems indicate issues

  • Employee hotline tip offs

  • Government subpoenas or search warrants

  • Government is asking questions about the institution, competitors, customers or business practices

  • A civil lawsuit is filed against the institution


Document the purpose, scope, method and conclusions of the investigation.




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