On-Demand   On-Demand Web Programs

Internal Investigations 2014

Released on: Jul. 8, 2014
Running Time: 06:00:14

Running Time Segment Title Faculty Format
[01:34:20] Commencing the Investigation: Considerations at the Outset Gregory S. Bruch ~ Bruch Hanna LLP
Martine M. Beamon ~ Davis Polk & Wardwell LLP
Steven R. Peikin ~ Sullivan & Cromwell LLP
David S. Krakoff ~ BuckleySandler LLP
Gregory P. Nehro ~ Managing Director, Assoc. General Counsel, Global Head of Employment, Enforcement & Investigations, BNY Mellon
On-Demand MP3 MP4
[01:31:14] Conducting the Investigation Andrew J. Morris ~ Morvillo LLP
Elaine H. Mandelbaum ~ Managing Director and Head of Litigation and Regulatory, Citi Institutional Clients Group
Holly K. Kulka ~ EVP, Deputy General Counsel, Legal and Government Affairs, NYSE Euronext, Inc.
Richard J. Morvillo ~ Morvillo LLP
Steven E. Fagell ~ Covington & Burling LLP
Renee Phillips ~ Orrick Herrington & Sutcliffe LLP
On-Demand MP3 MP4
[01:15:26] Concluding the Investigation Peter J. Romatowski ~ Jones Day
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
MaryJeanette Dee ~ Sheppard Mullin Richter & Hampton LLP
James E. Johnson ~ Debevoise & Plimpton LLP
David B. Anders ~ Wachtell, Lipton, Rosen & Katz
On-Demand MP3 MP4
[01:29:30] Regulators Roundtable Andrew M. Calamari ~ Regional Director, New York Regional Office, U.S. Securities and Exchange Commission
Lee G. Dunst ~ Gibson, Dunn & Crutcher LLP
Katherine R. Goldstein ~ Deputy Chief, Securities and Commodities Fraud Task Force, United States Attorney's Office
Nancy Kestenbaum ~ Covington & Burling LLP
Mei Lin Kwan-Gett ~ Willkie Farr & Gallagher LLP
On-Demand MP3 MP4

Knowing how to conduct efficient and effective 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. In this program, an expert faculty will review the fundaments of conducting an effective and efficient investigation, and touch on the many more nuanced and practical issues arising today. Leave the program with a better understanding of how to handle investigations successfully for your clients or company.

Lecture Topics 
[Total time 06:00:15]

Segments with an asterisk (*) are available only with the purchase of the entire program.

  • Opening Remarks and Introduction* [00:09:45]
    Nancy Kestenbaum, Richard J. Morvillo
  • Commencing the Investigation: Considerations at the Outset [01:34:20]
    Martine M. Beamon, Gregory S. Bruch, David S. Krakoff, Steven R. Peikin, Gregory P. Nehro
  • Conducting the Investigation [01:31:14]
    Richard J. Morvillo, Holly K. Kulka, Elaine H. Mandelbaum, Steven E. Fagell, Andrew J. Morris, Renee Phillips
  • Concluding the Investigation [01:15:26]
    David B. Anders, Peter J. Romatowski, MaryJeanette Dee, Colleen P. Mahoney, James E. Johnson
  • Regulators Roundtable [01:29:30]
    Nancy Kestenbaum, Andrew M. Calamari, Katherine R. Goldstein, Mei Lin Kwan-Gett, Lee G. Dunst

The purchase price of this Web Program includes the following articles from the Course Handbook available online:

  • Internal Investigations Do’s and Don’ts: Ten Lessons from Real World Cases
    Steven R. Peikin
  • Conducting Effective Internal Investigations: Practice Pointers and Privilege Considerations
    Mark D. Pollack
  • Three’s Company or Three’s a Crowd? Working with Third Parties during an Internal Investigation
    Laura G Hoey
  • Recent Whistleblower Case Law Developments, April 2014
    Michael Delikat
  • Excerpt from PLI’s Corporate Whistleblowing in the Sarbanes-Oxley/Dodd Frank Era, Internal Investigations, Chapter 11
    Michael Delikat
  • Practical Guidance for Maintaining Privilege Over an Internal Investigation, April 14, 2014
    Steven E. Fagell
  • Conducting an Internal Investigation: The Company’s Relationship With Its Independent Auditor
    Andrew J. Morris
  • The CFTC’s Whistleblower Program, April 10, 2014
    Anthony F. Fata
  • Some Practical Considerations When Concluding An Investigation, April 1, 2014
    Haywood S. Gilliam, Jr.
  • Trends in SEC Enforcement & Internal Investigations, March 27, 2014
    Andrew Lawrence, Colleen P. Mahoney, Erich T. Schwartz
  • PLI Internal Investigations 2014
    David B. Anders
  • Enforcement Manual, Securities and Exchange Commission, Division of Enforcement, Office of Chief Counsel, October 9, 2013
    Steven S. Scholes
  • Outline of Selected SEC Enforcement Actions, October 2013
    Andrew M. Calamari
  • Public Disclosures of the Results of Internal Investigations
    Mei Lin Kwan-Gett

Presentation Material

  • PLI Hypothetical- Internal Investigations 2014
  • Regulators Roundtable
    Mei Lin Kwan-Gett
Co-Chair(s)
Nancy Kestenbaum ~ Covington & Burling LLP
Richard J. Morvillo ~ Morvillo LLP
Moderator(s)
Mei Lin Kwan-Gett ~ Willkie Farr & Gallagher LLP
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
Steven R. Peikin ~ Sullivan & Cromwell LLP
Speaker(s)
David B. Anders ~ Wachtell, Lipton, Rosen & Katz
Martine M. Beamon ~ Davis Polk & Wardwell LLP
Gregory S. Bruch ~ Bruch Hanna LLP
Andrew M. Calamari ~ Regional Director, New York Regional Office, U.S. Securities and Exchange Commission
MaryJeanette Dee ~ Sheppard Mullin Richter & Hampton LLP
Lee G. Dunst ~ Gibson, Dunn & Crutcher LLP
Steven E. Fagell ~ Covington & Burling LLP
Katherine R. Goldstein ~ Deputy Chief, Securities and Commodities Fraud Task Force, United States Attorney's Office
James E. Johnson ~ Debevoise & Plimpton LLP
David S. Krakoff ~ BuckleySandler LLP
Holly K. Kulka ~ EVP, Deputy General Counsel, Legal and Government Affairs, NYSE Euronext, Inc.
Elaine H. Mandelbaum ~ Managing Director and Head of Litigation and Regulatory, Citi Institutional Clients Group
Andrew J. Morris ~ Morvillo LLP
Gregory P. Nehro ~ Managing Director, Assoc. General Counsel, Global Head of Employment, Enforcement & Investigations, BNY Mellon
Renee Phillips ~ Orrick Herrington & Sutcliffe LLP
Peter J. Romatowski ~ Jones Day

PLI makes every effort to accredit its On-Demand Web Programs and Segments.  Please check the Credit Information box to the right of each product description for credit information specific to your state.


On-Demand Web Programs and Segments
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Iowa, Mississippi, Oklahoma, and Wisconsin DO NOT approve Audio Only On-Demand Web Programs.


Please Note: The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement. PLI programs may qualify for credit based on the requirements outlined in the MCLE Regulations and Ariz. R. Sup. Ct. Rule 45.

*PLI will apply for credit upon request. Louisiana and New Hampshire: PLI will apply for credit upon request for audio-only on-demand web programs.


1Alabama: Approval of all web based programs is limited to a maximum of 6.0 credits.

 

2Iowa:  The approval is for one year from recorded date. Does not approve of Audio-only On-Demand Webcasts.

3Missouri:  On-demand web programs are restricted to six hours of self-study credit per year.  Self-study may not be used to satisfy the ethics requirements.  Self-study can not be used for carryover credit.

 

4New Hamphsire:  The approval is for three years from recorded date.

5New Mexico:  On-Demand web programs are restricted to 4.0 self-study credits per year. 


6New York:  Newly admitted attorneys may not take non-traditional course formats such as on-demand Web 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. 

7North Carolina:  A maximum of 4 credits per reporting period may be earned by participating in on-demand web programs. 


8Ohio:  To confirm that the web program 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 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.

9Oklahoma:  Up to 6 credits may be earned each year through computer-based or technology-based legal education programs.


10Pennsylvania:  PA attorneys may only receive a maximum of four (4) hours of distance learning credit per compliance period. All distance learning programs must be a minimum of 1 full hour.
 

11Rhode Island:  Audio Only On-Demand Web Programs are not approved for credit.  On-Demand Web Programs must have an audio and video component.

12Tennessee:  The approval is for the calendar year in which the live program was presented.

13Virginia: All distance learning courses are to be done in an educational setting, free from distractions.

14Wisconsin: Ethics credit is not allowed.  The ethics portion of the program will be approved for general credit.  There is a 10 credit limit for on-demand web programs during every 2-year reporting period.  Does not approve of Audio-only On-Demand Webcasts.


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.


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.


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, call Customer Service (800) 260-4PLI (4754) or e-mail info@pli.edu.

 
Related Items

Live Seminars  Live Seminars

Internal Investigations 2015 (New York, NY) Jun. 25, 2015
Internal Investigations 2015 (Chicago, IL) Jun. 9, 2015

Handbook  Course Handbook Archive

Internal Investigations 2015  
Internal Investigations 2014 Steven S. Scholes,
Richard J. Morvillo,
Nancy Kestenbaum,
David B. Bayless,
 
Internal Investigations 2013 Steven S. Scholes, McDermott Will & Emery LLP
Richard J. Morvillo, Morvillo LLP
Nancy Kestenbaum, Covington & Burling LLP
David B. Bayless, Covington & Burling LLP
 
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