We conduct thorough internal investigations and audits to help organisations identify and address potential legal, regulatory and compliance issues. We aim to assist clients in managing risks, improving governance, and maintaining integrity in their operations.

Overview

Internal investigations and audits are critical tools for organisations to proactively manage risks and respond to suspected misconduct. These processes can be triggered by various factors, including whistleblower reports, regulatory inquiries, or routine compliance checks. In Australia, the need for robust internal investigation procedures has been underscored by recent legislative changes, such as the enhanced whistleblower protection regime under the Corporations Act 2001.

Effective internal investigations require a delicate balance of legal expertise, investigative skills, and sensitivity to organisational dynamics. They must be conducted in a manner that uncovers the truth while respecting employee rights, preserving evidence, and maintaining confidentiality. Similarly, compliance audits play a crucial role in identifying potential issues before they escalate into more serious problems or attract regulatory scrutiny.

Our approach

We take a structured and impartial approach to internal investigations and audits. Our process begins with a clear definition of the scope and objectives, followed by careful planning of the investigation or audit methodology. We work closely with our clients to understand the context of the issues and any relevant internal policies or procedures.

For investigations, we conduct thorough interviews with relevant parties, carefully document all evidence, and maintain strict confidentiality throughout the process. We ensure procedural fairness and comply with all relevant legal and regulatory requirements. In audits, we perform comprehensive reviews of policies, procedures, and practices, benchmarking against legal requirements and industry best practices.

Our reporting is clear, factual, and actionable. We provide detailed findings and, where appropriate, recommendations for remedial action or process improvements. Throughout the process, we advise on strategies to minimise legal exposure and reputational risk.

Representative experience

• Conducted a sensitive internal investigation into allegations of financial mismanagement at a listed company, uncovering systemic issues and recommending governance improvements that were subsequently implemented.
• Performed a comprehensive compliance audit for a financial services firm, identifying gaps in anti-money laundering procedures and assisting in the development of an enhanced compliance program.
• Led an investigation into suspected intellectual property theft by a former employee of a technology startup, gathering forensic evidence that supported successful civil proceedings.
• Conducted an internal audit of a manufacturing company’s safety practices following a serious incident, identifying areas for improvement and helping the company enhance its safety culture.
• Investigated allegations of bullying and harassment within a government department, providing a detailed report that formed the basis for organisational cultural changes.
• Performed a due diligence audit for a company considering an acquisition, uncovering potential regulatory issues that informed the negotiation strategy and purchase price.