Corporate Internal Investigations ― A Systematic Overview of 13 Jurisdictions

Corporate internal investigations have become more and more important for businesses as a means to minimize business liability risks. These liability risks often result from a managerial failure to observe a particular regulatory code. For international businesses, the obligation upon management to supervise compliance does not stop at national borders, and the introduction of whistle-blowing systems within businesses is only a small step in terms of minimizing the risks. The greater challenge for businesses is to examine and analyze the findings of internal investigations, and this often calls for an internal investigation to be conducted internationally. Recent cases of law enforcement by national or international authorities against companies and individuals have highlighted the legal pitfalls and boundaries of corporate internal investigations. This book offers an overview of the recurring legal questions regarding internal investigations in 13 different jurisdictions: Austria, Brazil, China, France, Germany, Great Britain, Indonesia, Italy, Mexico, Russia, Spain, Switzerland, and the US. The book is especially concerned with the requirements for the initiation of internal investigations and the legal boundaries of different investigative measures. In addition, questions concerning data protection, employment laws, the conduct of interviews with employees, and penalties for inappropriate employee conduct are described. This will be a key text for practicing lawyers who carry out regulatory work.

Dr Stephan Spehl and Dr Thomas Gruetzner are partners at Baker & McKenzie in Munich.