Japan Compliance Investigations: case studies from financial services and other industries

02/23/2017 04:00 p.m. - 05:30 p.m.

Global Risk + Crisis Management and Investigations + White Collar Defense

Societe Generale
8F Palace Building
1-1-1 Marunouchi
Chiyoda-ku, Tokyo, Japan

James E. Hough

James E. Hough

Speaking Engagement

Businesses are facing increased scrutiny of their business practices from regulators and other authorities. This often results in a need to put in place a system to conduct internal investigations.

Investigations can vary in their structure, from simple fact finding to more overarching and complex risk assessments. To facilitate these processes, external firms are often brought in to provide support.

In this speaking engagement co-hosted by the International Bankers Association of Japan, James Hough will set out compliance-related lessons learned from conducting internal investigations in Japan over the past four years including for financial services firms. The presentation will cover:

  • Corruption/Fraud Risks
  • Books and Records/Internal Control Risks
  • Antitrust Compliance
  • Data Protection
  • Privilege Issues
  • Best practices for internal investigations

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