This is a webcast of the live New York session.
Why you should attend
Knowing how to conduct effective and efficient internal investigations is key to protecting your clients or company. Companies and their counsel need to be diligent and proactive in identifying risks and remedying potential issues. At this program, panels of experts from the private bar, in-house and the government use a real-world hypothetical fact pattern throughout the day to review the many considerations and issues that can and do arise from the beginning to the end of an investigation. The program is designed to review the fundamentals of conducting an effective and efficient investigation, as well as to touch on many practical issues arising today, including international issues, data privacy issues, labor and employment law issues, and more. Leave the program with a better understanding of how to handle investigations successfully for your clients or company.
What you will learn
- How to conduct an internal investigation, in-house or outside
- Considerations at the outset: nature and scope of the investigation
- Document retention issues
- Plaintiffs’ lawyers considerations: internal self-reporting to the company vs. filing with the government
- Issues in international investigations
- Data privacy issues
- The intersection of labor and employment law and internal investigations
- When and how to work with outside experts
- How to deal effectively with auditors
- When you should disclose and when you should not
- The government’s use, evaluation and weighing of internal investigations
- Concluding the investigation: when to prepare a report and how, corrective actions, cooperation with the government
- Ethical issues: warnings to witnesses, representational issues, the rights of employees, avoiding obstruction, indemnification and advancement
- Updated, real-world hypothetical scenario to structure program
- Earn one hour of Ethics credit
- Receive a list of take-away practice points at the end of each panel
Who should attend
This program is a must-attend event for anyone responsible for corporate investigations: inside and outside counsel, internal auditors, compliance officers, forensic accountants and other experts who handle internal investigations, and government attorneys – anyone who has a stake in this process.
PLI Group Discounts
Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact email@example.com or call (800) 260-4PLI.
PLI Can Arrange Group Viewing to Your Firm
Contact the Groupcasts Department via email at firstname.lastname@example.org for more details.
All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.
All times are E.D.T.
Morning Session: 9:00 a.m. - 12:30 p.m. (E.D.T.)
9:00 Opening Remarks and Introduction
- Internal investigations and the current environment
- Review of hypothetical fact pattern
Nancy Kestenbaum, Richard J. Morvillo
9:15 Commencing the Investigation: Considerations at the Outset
- How do you deal with allegations by a whistleblower?
- What are the labor and employment issues?
- When is an investigation warranted?
- Who should oversee the investigation?
- Who should conduct the investigation?
In-house vs. outside counsel
- What is the appropriate scope of the investigation?
- Who should know about the investigation?
- What steps should be taken to preserve documents?
- What are the considerations of the plaintiff’s lawyer?
- How can you manage the costs of an investigation?
- Dealing with international issues?
Steven R. Peikin (Moderator), Martine M. Beamon, Janet A. Broeckel, Thomas A. Hanusik, Kevin McCarthy
10:45 Networking Break
11:00 Conducting the Investigation
A. Considerations, Processes and Procedures
B. Privilege Issues and Ethical Traps in Conducting the Investigation (1 hour ethics)
- Gathering documents
- Employee interviews
- Employee issues and obligations: advice, rights and liability in light of recent cases
- Former employee interviews
- When should employees or former employees have their own counsel?
- How to deal with counsel for individuals
- Dealing with the auditors
- Dealing with international issues: attorney-client privilege in other countries, language issues
- Protecting the investigation: attorney-client privilege and work-product issues
- Representational issues
- Warnings to witnesses
- How to respond to questions from interviewees
- Avoiding obstruction
- Other ethical dilemmas
Richard J. Morvillo (Moderator), Michael Delikat, Dixie L. Johnson, Elaine H. Mandelbaum, E. Scott Morvillo
Afternoon Session: 1:45 p.m. - 4:45 p.m. (E.D.T.)
1:45 Concluding the Investigation
- Reaching findings
- Memorializing conclusions
- When to prepare a written report
- Alternatives to a written report
- Contents of the report: detail, facts vs. legal conclusions
- Who sees the report: handling third-party requests
- Corrective actions/remediation
- Whether and how to self-report
John F. Savarese (Moderator), Gregory S. Bruch, Lynn A. Neils, F. Joseph Warin
3:00 Networking Break
3:15 Regulators Roundtable
- The regulators’ perspectives on internal investigations
- Disclosing the investigation to regulators: why, when and how
- Regulators’ perspectives on how companies navigate whistleblower issues. Has Dodd-Frank changed how regulators are handling these issues and what they expect from companies?
- Maintaining a dialogue with the regulators during the investigation
- What will the regulators want to know?
- Challenges posed by international investigations
- Cooperation with the government
– Waiver issues
– Public disclosure of results
Nancy Kestenbaum (Moderator), Susanna M. Buergel, George S. Canellos, Mei Lin Kwan-Gett, Richard B. Zabel
Janet A. Broeckel
~ Managing Director and Associate General Counsel, Goldman, Sachs & Co.
George S. Canellos
~ Acting Director, Division of Enforcement, U.S. Securities and Exchange Commission
J. Kevin McCarthy
~ Executive Vice President & Deputy General Counsel; Global Head of Litigation & Regulatory Enfocement, BNY Mellon
Richard B. Zabel
~ Deputy United Sates Attorney, United States Attorney's Office, Southern District of New York
PLI makes every effort to accredit its Live Webcasts. Please check the CLE Calculator above for CLE information specific to your state.
PLI's Live Webcasts
are approved for MCLE credit (unless otherwise noted in the product description
) in the following states/territories: Alabama, Alaska, Arkansas, California, Colorado, Delaware, Florida, Georgia, Hawaii, Idaho*, Illinois, Indiana1
, Iowa*, Kansas*, Kentucky*, Louisiana, Maine*, Minnesota, Mississippi, Missouri, Montana, Nebraska, North Carolina, North Dakota, New Hampshire*, New Jersey, New Mexico, Nevada, New York2
, Oklahoma, Oregon*, Pennsylvania4
, Rhode Island, South Carolina, Tennessee, Texas, Utah, Vermont, Virginia5
, Virgin Islands, Washington, West Virginia, Wisconsin, and Wyoming*.*PLI will apply for credit upon request.
Arizona: The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement.
Arkansas and Oklahoma: Audio-only live webcasts are not approved for credit.
1Indiana: Considered a distance education course. There is a 6 credit limit per year.Running time and CLE credit hours are not necessarily the same. Please be aware that many states do not permit credit for luncheon and keynote speakers.
2New York: Newly admitted attorneys may not take non-transitional course formats such as on-demand audio or video programs or live webcasts for CLE credit. Newly admitted attorneys not practicing law in the United States, however, may earn 12 transitional credits in non-traditional formats.
3Ohio: To confirm that the live webcast has been approved, please refer to the list of Ohio’s Approved Self Study Activities at http://www.sconet.state.oh.us. Online programs are considered self-study. Ohio attorneys have a 6 credit self-study limit per biennial compliance period. The Ohio CLE Board states that attorneys must have a 100% success rate in clicking on timestamps to receive ANY CLE credit for an online program.
4 Pennsylvania: A live webcast may be viewed individually or in a group setting. Credit may be granted to an attorney who views a live webcast individually. There is a 4.0 credit limit per year for this type of viewing. A live webcast viewed in a group setting receives live participatory credit if the program is open to the public and advertised at least 30 days prior to the program. Live webcasts viewed in a group setting that do not advertise at least 30 days prior the program will be considered "in-house", and therefore denied credit.
5Virginia: All distance learning courses are to be done in an educational setting, free from distractions.
Note that some states limit the number of credit hours attorneys may claim for online CLE activities, and state rules vary with regard to whether online CLE activities qualify for participatory or self-study credits. For more information, refer to your state CLE website or call Customer Service at (800) 260-4PLI (4754) or email: email@example.com.
If you have already received credit for attending some or the entire program, please be aware that state administrators do not permit you to accrue additional credit for repeat viewing even if an additional credit certificate is subsequently issued.