Compliance and Ethics in Mergers and Acquisitions

Managing Internal Investigations From The Compliance Side
April 14, 2015
Consero’s 2015 Financial Services & Insurance Litigation Forum to Explore the Role of Chief Litigation Officers in the Use of Wearable Tech & Biometrics
April 21, 2015

Compliance and Ethics in Mergers and Acquisitions

Businessman and businesswoman walking and talking on modern office building corridor.

1. Re-Assess Risk

After a merger or acquisition, your organization has changed into a new entity, and this entity may have different risk management needs than the old one. Perform a new risk assessment based on what the company looks like post-M&A and create a step-by-step process of what needs to be accomplished; do not assume your previous risk assessment is sufficient for your new organization.

2. Locate Simple Solutions

Once you have completed a new risk assessment, determine the gaps that need to be filled and begin tackling them on a priority basis. This assures that critical progress will be made sooner rather than later. For example, fulfilling new training or policy needs first could make important corrections to your company that could reduce the need for other later adjustments.

3. Connect With New Managers

New management provides an opportunity for positive change in the company. Show new managers respect and look for common ground. Working in the beginning to forge these relationships will not only help you garner support for the long haul, but help foster the right compliance and ethics culture for the new organization.