Valenti Hanley PLLC

Regulatory investigations must be handled carefully

When your company is being investigated for regulatory violations, it is imperative that you make a plan for handling the matter. You shouldn't do anything that could incriminate the company and you need to ensure that everyone is acting in a reputable and lawful manner.

One thing that you need to emphasize if you think that you might be under investigation or that one is forthcoming is that no evidence can be destroyed. Documents can't be fabricated or altered in any manner. If anything is changed or destroyed, criminal charges could be levied.

Another consideration is that you must not do or say anything that might be construed as an admission of guilt for yourself or your company. Some people try to head off public scrutiny by addressing the possibility of an investigation before one starts. This might work against you, and it could be illegal, so consult with your attorney before you do anything of the sort.

You may also decide that you need to do an internal investigation. If this is the case, take the time to ensure that you aren't doing anything that is going to interfere with the official regulatory investigation. Even with this consideration, you need to be sure that the internal fact-finding mission is thorough.

As you learn more about the investigation, you may need to change parts of your strategy or add in new components. As you do this, think about how they might affect your case as a whole. This can help you determine what you are going to do at each step.

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Valenti Hanley PLLC
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Louisville, KY 40202

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