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5. Signs of Government Investigations

While government investigations begin covertly, they leave clues. Don’t ignore the signs.  Create good compliance programs that question whether the business and the team members operate in accordance with rules and regulations. When signs suggest that something is wrong, take action to minimize exposure to damage.

Out of an abundance of caution, banks and brokerage firms may cut ties with a business or individual if they’re questioned by authorities. They do not want to incur the expense of responding to investigations. Business leaders must be on the alert for any sign that authorities are asking questions that could undermine the company.

A strong compliance program minimizes exposure to investigations. The sooner a business can document a good-faith strategy to operate in compliance with laws and regulations, the better the business positions itself for leniency in the event of an investigation.

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