When to Launch an Internal Investigation

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3 Responses

  1. Chris Ideker says:

    I would add a couple of nuances to your list from my big 4 audit days. Does the alleged violation potentially impact previously issued financials and/ or have significant implications for either the control environment or the integrity of senior management?

    In those cases, the auditor would want to see an investigation led by an independent committee of the board. I look forward to your discussion on counsel. Jim Doty (chair of the PCAOB) and participated in a panel on this very issue.

  2. Thank you for providing the information of internal audit.

  1. October 5, 2012

    […] When to Launch an Internal Investigation: Michael Volkov, Corruption, Crime & Compliance, lists some of the factors that help you decide to conduct an internal investigation. […]