Responding to a Dawn Raid*
Many businesses are not aware of the process or the risks associated with an investigation by a regulatory authority (“Authority”). While rare, you should always expect that unannounced visits are a possibility.
The first impression the Authority takes of your business can have a material effect on the direction of the investigation. An important proactive step is to set up an internal regulatory team, all of whom are briefed on how to act, behave and who to call should an investigation materialise.
This programme aims to provide the participants with the necessary knowledge on what to expect during a dawn raid and how to manage it effectively. Our training programme culminates with a random mock raid to test end preparedness. We use case studies and role plays to create an engaging interactive learning environment.
All employees (including IT staff, legal, senior employees, receptionist) for the general dawn raid training, upper management & legal representatives for special task training.
Indicative Learning Outcomes
On successful completion of the training session, participants will understand strategies to manage a raid effectively while providing maximum cooperation to the authorities. They will:
- Understand what powers of search the regulator has including indicators for scope of search
- Understand how to verify the identity of the officials and ascertain their investigation mandate
- Understand key roles and duties of a raid response team and how the team can be used to manage a dawn raid effectively
- Be aware of key processes and activities involved in a raid
- Be aware of key boundaries and permissible conduct by employees during a raid
- Understand what documents the Authorities can take/read and what is protected under legal privilege
- Understand what questions the Authorities can ask and how to respond under the particular scope of the law
- Be aware of notes that should be taken during the raid as well as detailed records that should be maintained
- Understand the role and duties of a special task team (comprising upper management) in responding to the regulatory investigation during and post raid
- Understand the necessary internal communications that should be disseminated
- Understand the necessary external communications that should be prepared to manage risk to reputation
*A dawn raid could be an unannounced visit by the Malaysia Anti-Corruption Commission (“MACC”), Malaysia Competition Commission (“MyCC”), Bank Negara Malaysia (“BNM”) or other enforcement body. It is typically carried out early in the morning with a view to using the element of surprise to procure evidence that risks being hidden or destroyed, or to question individuals who will be taken off guard by the early morning raid.