Compliance Policies and Procedures | FTI Consulting

Are Your Compliance Policies and Procedures Working? And How Do You Know?

Forensic & Litigation Consulting

August 10, 2016

FTI Consulting is dedicated to helping organizations protect, realize and enhance enterprise value in an increasingly complex regulatory, economic and legal environment. While organizations continue their global expansion and join forces with new partners abroad, corporate executives and directors must remain vigilant to avoid potential violations of regulations and laws in the organization’s home country, as well as the laws of the countries in which they operate. Often the prosecution of criminal liability can attach to an organization whenever an employee of the organization commits an illegal act within the apparent scope of his or her employment, even if the employee acted directly contrary to company policy and instructions. Effective compliance programs play a critical role in warning of potential threats, and preventing violations of laws that could at a minimum tarnish a corporation’s image and impact its business relationships or financial viability. Our highly experienced professionals bring detailed knowledge of their fields and industries to client projects, providing full-scale assessments, process improvement and support for compliance programs. We help analyze existing policies and procedures to find gaps or breaches in existing safeguards, and are adept at designing and implementing controls that serve to rehabilitate deficiencies and/or monitor the continuing effectiveness of an organization’s compliance program in an ever-changing business environment.

Our Approach 
Our approach is hands-on, cost-effective and phased. Our global teams of industry specialists, former regulatory and law enforcement officials, technology experts and forensic accountants work together with you to assess the situation and your specific needs. Based on this assessment, we design a scaled scope, execute the work and provide recommendations and other feedback in a timely fashion to executive management, boards, audit committees and company counsel.


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