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Anti-fraud forensics

007  Time of publication：2021-07-22

From the point of view of the evidence collector: corporate supervisors need to obtain as much evidence as possible to restore the facts, and to the greatest possible guarantee the validity and power of evidence to assist in the settlement of the case. From the perspective of compliance practitioners, the implementation of supervision is restricted by many “red lines”. The Shenzhou Jintai International Business Survey suggests that companies combine their own risk preferences, comprehensively consider resources such as manpower, legal affairs, compliance, and supervision, and formulate reasonable and efficient disciplinary inspection and supervision mechanisms and strategies.

The difficulties in the identification and acquisition of evidence are concentrated in the following aspects:

【1】Electronic data forensics:

The electronic data review of office computers can bring breakthroughs to investigations. With the popularization of instant messaging tools, corporate employees, especially those with irregular positions in the office, use WeChat, private phones, private mailboxes and other methods for processing. Business. This has led to a decrease in the value of electronic data stored in office equipment, and the demand for instant messaging records in surveys is increasing. However, when acquiring instant messaging records, how to effectively identify and capture business information without involving personal information; how to prevent business information stored in instant messaging records from being arbitrarily erased is still troubled by corporate compliance, General problems of the monitoring team. In addition, from a technical point of view, there is still a lack of effective isolation and protection methods for personal and company information contained in instant messaging records. To cope with the above-mentioned challenges, China Jintai International Business Survey recommends that companies adopt the following methods:

From the policy level：It is expressly required not to use work computers, fixed telephones, mobile phones and other mobile terminals allotted by the unit to communicate work information, and stipulates that if the information related to the unit’s business is generated, transmitted or communicated through personal mobile devices, the relevant information is the enterprise Assets and companies have the right to obtain them when investigating violations. For example, if you communicate work arrangements and push emails to employees through mobile devices, you can ask employees to cooperate with compliance work during investigations and actively disclose relevant business information by formulating policies and strengthening the construction of a compliance culture. For local file management of the company’s electronic equipment, consider setting permissions on the local hard disk. Generally, local files can only be stored in a specific hard disk area. When the equipment is connected to the Internet, the company can back up the preset hard disk partitions in the background , Thereby reducing the communication cost and time cost of obtaining electronic documents. For the files stored on the server, qualified enterprises may consider real-time backup to reduce the risk of forensic failure during investigation.

[2] Recognition of conflicts of interest：

Although third-party background verification based on public and non-public information is an important means of gathering evidence of conflicts of interest, it is difficult to determine the relationship due to personal information protection, limited content of mandatory public information, and information quality restrictions. On the other hand, companies that use the sales model of distributors and agents often encounter situations where employees and distributors and agents buy low and sell high, and the dealers and agents collude and rig bids. However, there is usually no obvious relationship between employees, distributors and agents. Shenzhou Jintai International Business Investigation Suggestions:
【A】First of all, companies can clarify the definition of conflicts of interest and specific permitted or disallowed conflicts of interest through policies based on their own risk preferences. For example: Whether there is no obvious shareholding relationship, but there is evidence showing that there is an undisclosed personal relationship between employees and suppliers, defined as interest-related; whether it is allowed to declare in advance and establish sufficient interest isolation on the basis of Introduce third parties who have an interest relationship with employees through the supplier access process, or absolutely prohibit the introduction of any third party who has an interest relationship with employees.
【B】Establish a risk management process that runs through the entire life cycle of a third party, and consider using technical means to assist management. The company's compliance management of third parties should run through the entire life cycle of selection, signing, transaction process monitoring, performance evaluation, and termination of cooperation. And through the establishment of a supplier database, the collection and centralized management of supplier characteristic information. Such as: registered address, contact person and contact information, legal person and senior management members, etc. Through the cross-checking of the above information, the possibility of bid stringing and bid rigging can be actively discovered to a certain extent. At the same time, on the basis of fully protecting personal information, it is possible to connect supplier information and employee personnel file information to prevent undisclosed interest associations/conflicts in advance.

【C】Through third-party management throughout the life cycle, regular third-party performance evaluation can also be achieved, and compliance indicators can be included in the assessment scope. For third parties who have long-standing non-compliance or serious non-compliance situations, consider terminating the cooperative relationship.

【D】In order to prevent employees and third parties from having an interest relationship beyond the business relationship, consider cutting off the relationship through the rotation system.

【3】Evidence effect of interview: signature, audio and video

Interviewing the target person is an important means for investigating the later stage, sorting out the clues obtained, and restoring the truth. The information obtained in the interview can usually be used as an important basis for later personnel handling and transfer to justice. In practice, common interview evidence retention methods include requiring the target person to sign the interview minutes, recording and recording interviews, etc.

What are the compliance risks that may invalidate the evidence during the forensic process? How effective are the types of evidence? Shenzhou Jintai International Business Survey suggests that companies should consider:

1、You should first choose to record and record with the interviewee’s permission. In addition, you should consider protecting the portrait rights of the interviewee and others. If recording is performed without the interviewee’s permission, it is necessary to ensure that the legal rights of the other party and others are not violated in the process (such as: whether there is a restriction on the other party’s personal freedom, whether the other party’s privacy rights are infringed, etc.) or the law is violated Prohibitive provisions.

2、After the interview, the respondent should be asked to sign the interview record. If the interviewee has substantially modified the interview record, it will constitute a self-confession of the relevant expression after the modification; if some words are modified, it will be difficult to constitute a self-confidence. It should be noted that in any case, the partial modification of the interviewee does not constitute confirmation of the entire interview record, that is, the interviewee's signature confirmation is still necessary.

3、If the interviewee said afterwards that he was under pressure or threat to sign the interview record, in principle, the interviewee must prove that he was under pressure or threat, and be objective, professional, and professional from the perspective of a bona fide third party. Evaluate the situation neutrally.

4、In terms of the effectiveness of evidence, the effectiveness of the documentary evidence formed by the interviewee's signature and transcript is stronger than the effectiveness of the audiovisual materials formed by audio and video recordings.

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