CHINA: An Introduction to Corporate Investigations/Anti-Corruption (PRC Firms)
Transformation and Challenges of Corporate Investigations
In the past, multinational companies have tended to conduct internal investigations led by specific domestic subsidiary companies or branch offices in collaboration with local law firms or third-party institutions. However, as the international situation is rapidly changing, and international relations become increasingly complex, countries worldwide are implementing measures to enhance national security and regulate cross-border data transfer and other issues more stringently. Therefore, cross-regional investigations are undergoing transformation and facing challenges.
The New Method of Corporate Investigation: Online Investigation
On the one hand, traditional methods of internal investigations led by domestic subsidiaries often result in unfavourable investigation outcomes and biased findings due to potential conflicts of interest. On the other hand, the technological advancement of digitalisation has facilitated an increase and greater feasibility of remote investigations.
Many multinational companies have developed a matured management system for remote communication during and after the pandemic. Currently, they have continued to permit employees to work from home for one to two days each week, as professional software for meetings like Teams effectively mitigates barriers associated with online meetings and interviews. Furthermore, cloud drives/disks that support cross-border access provide substantial capacity for data storage along with smooth transmission capability, enabling forensic reviews and documents reviews to be conducted remotely. Collection of forensic evidence from employees’ computers can likewise be executed remotely with essential operations performed abroad.
Multinational companies start to explore new methods of internal investigation wherein foreign headquarters assume leadership roles by engaging foreign law firms or third-party institutions for assistance. They conduct internal investigations of domestic subsidiaries through online remote investigations, and to some degrees have achieved satisfactory results.
The Limitations and Challenges of Online Investigations
Although online investigations could have certain advantages in terms of objectivity and efficiency, relying solely on them is insufficient to attain best outcomes, or even to reach a satisfactory level.
From the perspective of data regulation, data transfer from the PRC to abroad is inevitable during online investigations, which falls under stringent supervision of competent cyberspace authorities. If the data that needs to be sent back to foreign headquarters during investigations conducted within the PRC includes personal information of employees or data classified as important data, such data shall be filtered, assessed, and transmitted in accordance with regulatory requirements. In practice, the data that can be transmitted abroad after filtration and assessment is often restricted, and a lot of data cannot even be read or utilised, let alone serve its intended investigative purpose.
Besides, there are inherent concerns regarding reliability and security of technical tools. For example, AI face-swapping technologyposes significant risks related to identity fraud of interviewees participating in online interviews. Use of online tools also introduces vulnerabilities associated with potential data leakage or cyber-attacks, and important data or sensitive information may be intercepted or tampered with during transmission.
Another notable limitation of online investigations lies in their reliance on restricted information that has been filtered prior to access, which is different from offline investigations where comprehensive information can be obtained. For example, only facial expressions of interviewees can be observed through online interviews, body language and other non-verbal signals are excluded by camera. Sometimes, poor picture quality and internet lag during video calls may result in crucial content for investigation being overlooked or omitted. Moreover, files stored on network drives are uploaded after filtration by domestic subsidiaries, therefore it is possible that sensitive files have been excluded prior to uploading.
Exploring Best Practice for Corporate Investigations: Direct Connection between Foreign Headquarters and Domestic Institutions
Online investigations conducted by foreign headquarters can be an effective tool for the purpose of preliminary filtration and information collection. However, certain critical aspects, especially investigations involving high-risk companies or sensitive industries, still need to rely on on-site inspections and support of local professional institutions, such as local legal advisors, investigation institutions, and professionals to ensure accuracy of information and depth of investigation.
In addition, offline investigations conducted by local law firms or institutions can address the limitations of online investigations. On-site visits are more conducive to finding out the true situation, and in-depth interviews with stakeholders provide a more comprehensive perspective for the investigation. Local law firms and professional institutions are more familiar with regional regulatory requirements and cultural differences, which can help foreign companies in navigating legal and cultural pitfalls in the investigation, ensuring the operability and compliance of the investigation process.
After a period of exploration, a preliminary consensus reached is that regarding corporate investigations of multinational companies, it is best practice to have overseas headquarters take the lead by engaging foreign law firms or investigation institutions, coupled with the assistance and supplementation of local law firms hired by foreign law firms or investigation agencies to overcome the limitations of online investigations, especially in countries where direct involvement of foreign lawyers in investigations are not allowed. In this way, on the premise of ensuring objectivity and independence of the investigation, integration of online and offline investigation is achieved to conduct effective internal investigations within domestic subsidiaries.
公司调查的转型与挑战
以往跨国公司在进行公司内部调查时，倾向于采用在境内的子公司或分支机构的主导下聘请境内律所或第三方机构的模式。国际形势瞬息万变且国际关系愈加复杂，伴随着各国政府开始采取措施加强国家安全、数据跨境传输等方面加强监管，跨国公司的跨地域调查活动及模式也面临着转型与挑战。
公司调查新路径：线上调查
一方面，传统模式下由境内子公司主导的内部调查，往往容易出现因存在利益冲突而导致调查效果差、调查结果不客观等类似不利后果；另一方面，适逢数字化技术的快速发展，远程调查开始具有一定的可行性。
在疫情中和疫情后，许多跨国企业在远程办公方面已经有很成熟的管理体系。目前，不少企业仍然保留员工每周一至两天的居家办公，Teams等专业会议软件使得线上会议、线上访谈几乎不存在实质障碍。此外，可跨境访问的云盘/网盘已经可以实现超大容量存储及流畅的传输，法证审查及大量的文件审阅完全可以通过远程方式进行。对于员工计算机设备的取证也可以通过远程控制的方式，在境外进行必要的电脑操作。
跨国公司开始尝试以境外总部公司作为主导，聘请境外律所或第三方机构辅助，通过线上远程调查的方式对境内子公司开展内部调查，部分公司在实践这一新模式后取得了较为满意的效果。
线上调查的局限性与挑战
即使线上调查能够在客观性、效率上提供一些帮助，但完全的线上调查不足以达到最佳效果，甚至可以说是远远不够的。
从数据监管角度，线上调查必然会涉及到从中国境内向境外传输数据，而数据的跨境传输是网信部门的重要监管内容之一。境外总部在中国境内开展调查，需要回传给境外总部的数据如果包括员工的个人信息、涉及到可能被认定为重要数据的数据，则需要通过筛选、评估，并在符合监管要求的前提下进行传输。根据实务情况，通过筛选、评估后能够向境外传输的数据往往都十分受限，甚至很多数据都无法阅读、使用、实现目的。
其次，技术工具的可靠性和安全性也存在潜在的问题，例如AI换脸技术可能使得线上访谈中受访者出现身份造假的风险。此外，线上工具的使用也伴随着数据泄露或网络攻击的风险，重要数据或者敏感信息很可能在传输过程中遭到截取或篡改。
线上调查还有一个很大的局限性是，不同于线下调查所能获得的全方位信息，线上所展开调查的对象和内容都是经过“筛选”后所提供的受限信息。例如，线上访谈时只能观察到受访者的面部表情，而无法观察其肢体动作等非语言信号，甚至很多时候访谈画面的画质不清晰、卡顿可能导致错过对调查而言非常重要的内容。再比如，网盘中的文件是经过境内子公司筛选后才进行的上传，不排除其在上传前提前过滤敏感文件的可能性。
探索公司调查的最佳实践：境外总部与境内机构的直联
境外总部展开的线上调查可以作为初步筛选和信息收集的有效工具，但关键的环节，尤其是涉及高风险企业或敏感行业的调查，仍需要依赖线下的实地考察和当地专业团队的支持，依靠当地的法律顾问、调查机构以及专业人员，以确保信息的准确性和调查的深度。
此外，境内律所或调查机构展开线下调查能够弥补线上调查的局限性。实地走访更利于了解真实情况，与利益相关方进行深入访谈能够为调查提供更加全面的视角。而当地律所和专业团队熟悉当地的监管要求和文化差异，能够帮助境外企业在调查中避免法律和文化上的误区，确保调查过程的可操作性与合规性。
经过多方探索，目前已初步达成共识的跨国企业公司调查最佳实践方案为，境外总部公司主导，由其聘请境外律师或调查机构，境外机构受限于线上调查局限性的部分，由境外律师或调查机构聘请境内律师予以辅助和补充（尤其是在部分不允许外国律师直接在境内展开调查的国家）。以此在确保调查的客观独立性的基础上，实现线上、线下相结合的良性模式，对境内子公司开展富有成效的内部调查。