After uncovering compliance violations within its operations in the Asia Pacific region, a global life sciences corporation decided to take a more targeted, proactive approach to finding problem areas and self-reporting them ahead of a regulatory inquiry. The organization engaged FTI Technology to support the internal compliance team with quarterly evaluations of randomly selected business segments and global communications monitoring.

Our Role

For nearly three years, FTI Technology has been supporting the client with regular compliance monitoring, lookbacks and internal investigations of randomly-selected business segments or in response to whistleblower reports. FTI Technology’s compliance and analytics experts provide fast, thorough and high-value fact-finding, analysis and reporting through several expert-led, technology-driven offerings. Solutions delivered include:

  • Customized, proactive compliance program and communications monitoring to identify suspicious activity, answer key questions about it and uncover information to support or guide follow-on investigations.
  • Creation of a work product database that is used in ongoing investigations to more rapidly identify similar wrongdoing and predict issues in future monitoring projects.
  • Real-time insights to inform proactive steps. In the investigation into the business department suspected of nepotism and corruption, this included identifying that ephemeral messaging tools were in use within the organization, so the compliance team could quickly take steps to remediate the unsanctioned use of such tools and implement measures to prevent further use.
  • Find Facts Fast researchers to leverage a variety of analytical tools and workflows that establish an understanding of information within specific document sets of interest.
  • Story Development, including fact memos and narratives and chronologies that facilitate deeper understanding of compliance issues, events and key players.
  • Comprehensive summaries of risk areas relating to quarterly reviews, specific business segments and whistleblower reports.
  • Proactively identify vulnerabilities to prevent future, ongoing investigations or regulatory violations.