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Mumbai | Pune | Hyderabad | New Delhi | Chennai | Bengaluru
Indo German Chamber of Commerce
29 October 2015
© 2015 SKP Business Consulting LLP. All rights reserved.
Scenarios or circumstances in which the management should consider conducting investigations
Limitations in extracting information
Involvement of third party
Highly sensitive (Trade information) requires third person/independent review
Sophisticated and Specialised Area
Possibility of evidences getting damaged/impacted in the process
© 2015 SKP Business Consulting LLP. All rights reserved.
They may delete the
data
Data is in the network
Suspects are key personnel
Vendors and suppliers are
also suspected
Transaction structures are
complex
© 2015 SKP Business Consulting LLP. All rights reserved.
10
9
8
7
6
5
4
3
2
1
Game Hammer
High
Medium
Low
Many
Some
Few
Senior
Middle
Low
Employee Level
No of third parties
Nature & complexity
of issue
What factors to consider for
planning investigation
© 2015 SKP Business Consulting LLP. All rights reserved.
Start
Reports & documents
Applications installed eg. software used to
wipe information
Emails
Internet activity Chat Log
Media info (Photo, scan doc, video
etc)
Usage of USB
WiFi usage
Specific Folders
Secured information
Draft agreements
Deleted Information
Personal Identity info
Network information
Downloaded content
© 2015 SKP Business Consulting LLP. All rights reserved.
Internet history/ activities
Key chat exchanges
Mails/files downloaded to mobile
Search history/ flagged places
Files uploaded/ downloaded from storage sites
Contact list and frequently contacted indications
Social media cache memory
Call and text history
© 2015 SKP Business Consulting LLP. All rights reserved.
D&B reports
Regulatory reports (tax,
ROC, electoral
list)
B2B and B2C sites (Just dial, Sulekha)
Social Media
Public information (true caller/
association list/ school list)
News, magazines,
advertisements
Profile and CV’s
Blogs/ comments or
other references
© 2015 SKP Business Consulting LLP. All rights reserved.
Nature of case in question
An issue involving third party, key stakeholders etc
Potential legal complications
With JV partners, business partners or key managerial
personnel
Advise on guiding through the issue
Guidance on how certain issues needs to be handled and what aspects should be
considered in it
© 2015 SKP Business Consulting LLP. All rights reserved.
Guiding on way forward post court proceeding
Cooperating with law enforcement in investigation process
Serving notice on identified individuals (Civil)
Consolidation and securing of evidence
Handle court proceedings
Approaching Law enforcement for registering the case
Agreeing on legal approach and the key considerations therein
© 2015 SKP Business Consulting LLP. All rights reserved.
Guiding on how information, evidence and approach towards way forward would be handled in confidential manner Structuring
protocols on Who can, to whom, when and how share any information relating to investigation
Defining the stakeholders, key people who would be involved in the investigation and people who should be informed about the investigation
© 2015 SKP Business Consulting LLP. All rights reserved.
Whistle blowers are CONCERNED about 3 C’s
Confidence – on reporting mechanism / its independence
Comfort – on confidentiality / non retaliation
Clarity – in roles and obligations
© 2015 SKP Business Consulting LLP. All rights reserved.
1. Enhance whistle blowing
2. Investigate concerns & violations
3. Enhance measures to minimize fraud
4. Develop mechanism to detect fraud
5. Promote ethical culture 6. Enhance capacity of investigation team
7. Structure mechanism for fraud reporting
© 2015 SKP Business Consulting LLP. All rights reserved.
The contents herein are solely meant for communicating information and not as professional advice. It may contain confidential or legally privileged information. The addressee is hereby notified that any disclosure, copy, or distribution of this material or the contents there of may be unlawful and is strictly prohibited. Also the contents can not be considered as any opinion/advice and should not be used basis for any decision. Before taking any decision/advice please consult a qualified professional adviser. While due care has been taken to ensure the accuracy of the information contained herein, no warranty, express or implied, is being made by us as regards the accuracy and adequacy of the information contained herein. SKP Business Consulting LLP shall not be responsible for any loss whatsoever sustained by any person who relies on this material.