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In a compliance investigation, the initial and crucial step is to collect relevant facts and evidence. This foundational stage sets the groundwork for the entire investigation, as it allows the compliance officer or investigator to understand the context of the issue at hand. By gathering material that may include documents, emails, records, or interviews with involved parties, the investigator begins to piece together a comprehensive picture of the situation.

Without this fact-finding effort, any subsequent actions—such as assessing the consequences of violations or determining whether regulatory authorities should be notified—would be speculative and potentially misguided. The quality and thoroughness of the facts collected in the initial phase directly impact the effectiveness of the investigations and the integrity of any conclusions drawn later. The accuracy of findings and any resulting compliance actions rely heavily on the evidence collected at this early stage.