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An Internal Investigation Procedure outlines the steps organizations take to look into suspected misconduct, fraud, or workplace issues within their Hong Kong operations. It sets clear rules for gathering evidence, interviewing witnesses, protecting confidentiality, and documenting findings in line with local employment laws and the Personal Data (Privacy) Ordinance.

These procedures help companies maintain compliance with Hong Kong's anti-corruption laws and Securities and Futures Commission requirements. A well-designed investigation process protects both the company and its employees by ensuring fair, thorough, and legally sound handling of sensitive matters - from minor workplace disputes to serious financial irregularities.

Use an Internal Investigation Procedure when your organization faces potential misconduct, from suspected fraud and corruption to workplace harassment claims. It's particularly crucial in Hong Kong when dealing with complaints under the Securities and Futures Ordinance, handling whistleblower reports, or addressing possible breaches of the Prevention of Bribery Ordinance.

The procedure becomes essential once you receive internal reports of wrongdoing, spot financial irregularities, or detect compliance violations. Having this framework ready before issues arise helps protect confidentiality, preserve evidence, and maintain legal privilege - especially important given Hong Kong's strict corporate governance requirements and regulatory oversight.

• Simple Investigation Protocol: Used for straightforward workplace issues like minor misconduct or interpersonal conflicts, focusing on basic fact-finding and resolution steps.
• Financial Misconduct Procedure: Detailed protocols for investigating accounting irregularities, fraud, or breaches of Hong Kong's Securities and Futures Ordinance.
• Regulatory Compliance Investigation: Specialized procedures aligned with SFC requirements and anti-corruption laws, featuring enhanced documentation and reporting standards.
• HR-Led Investigation Process: Tailored for handling employment-related matters, discrimination claims, and workplace harassment cases under Hong Kong labor laws.

• Legal Counsel: Draft and oversee Internal Investigation Procedures, ensuring compliance with Hong Kong laws and maintaining legal privilege throughout investigations.
• Compliance Officers: Implement procedures, coordinate investigations, and maintain documentation in line with SFC requirements.
• HR Directors: Handle employee-related investigations and ensure procedures align with employment laws and privacy regulations.
• Senior Management: Approve procedures, receive investigation reports, and make key decisions based on findings.
• External Auditors: Review investigation procedures during annual audits and assess their effectiveness in preventing misconduct.

• Company Structure: Map out reporting lines, key departments, and decision-making authority for investigations.
• Legal Framework: Review Hong Kong's Privacy Ordinance, anti-corruption laws, and relevant industry regulations affecting investigations.
• Documentation Rules: Establish protocols for evidence collection, interview records, and maintaining confidentiality.
• Response Timeline: Define clear deadlines for initial assessment, investigation stages, and final reporting.
• Communication Chain: Identify who needs to be informed at each stage and how findings will be reported.
• Template Selection: Use our platform to generate a customized procedure that includes all required elements under Hong Kong law.

• Purpose Statement: Clear objectives and scope of investigations, aligned with Hong Kong corporate governance requirements.
• Confidentiality Provisions: Data handling protocols compliant with the Personal Data (Privacy) Ordinance.
• Investigation Steps: Detailed procedures for evidence collection, witness interviews, and documentation requirements.
• Reporting Framework: Clear chain of command and escalation procedures for different types of misconduct.
• Legal Privilege Protection: Safeguards to maintain attorney-client privilege during investigations.
• Compliance Measures: References to relevant Hong Kong laws, including SFC regulations and anti-corruption provisions.

An Internal Investigation Procedure differs significantly from a Disciplinary Procedure, though they're often confused. While both deal with workplace misconduct, they serve distinct purposes in Hong Kong's corporate governance framework.

• Timing and Purpose: Investigation procedures focus on fact-finding and evidence gathering before any conclusions are drawn, while disciplinary procedures outline the actions taken after misconduct is confirmed.
• Legal Scope: Investigation procedures emphasize confidentiality and legal privilege protection during the inquiry phase, whereas disciplinary procedures must align with Hong Kong employment laws regarding fair hearings and penalties.
• Process Flow: Investigation procedures detail methods for collecting evidence and interviewing witnesses, while disciplinary procedures outline warning systems, hearing rights, and appeal mechanisms.
• Documentation Requirements: Investigation procedures focus on maintaining investigation records and protecting sensitive information, while disciplinary procedures emphasize formal warnings and outcome documentation.