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.
Morning Session: 9:00 a.m. - 12:30 p.m.
9:00 Opening Remarks and Introduction
- Internal investigations and the current environment
- Review of hypothetical fact pattern
David B. Bayless, Steven S. Scholes
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?
Pravin B. Rao (Moderator), Kathleen M. Cronin, Anthony F. Fata, Laura G. Hoey, Howard S. Suskin
10:45 Networking Break
11:00 Conducting the Investigation
A. Considerations, Processes and Procedures
- 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
B. Privilege Issues and Ethical Traps in Conducting the Investigation (1 hour ethics)
- 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
Mark D. Pollack (Moderator), Michael J. Diver, John N. Gallo, John C. Kocoras, Moira K. Moran, Kevin M. Robinson
Afternoon Session: 1:45 p.m. - 4:45 p.m.
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
David B. Bayless (Moderator), Haywood S. Gilliam, Jr., Steven M. Malina, Kathryn A. Pyszka, Thomas W. Szromba
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
Steven S. Scholes (Moderator), C.J. Kerstetter, Jennifer W. Murphy, Julie B. Porter, Junaid A. Zubairi
Kathleen M. Cronin
~ Managing Director, General Counsel and Corporate Secretary, CME Group Inc.
~ Assistant Regional Director, US Securities and Exchange Commission
Moira K. Moran
~ Associate General Counsel, Robert W. Baird & Co. Incorporated
Julie B. Porter
~ Assistant United States Attorney, Northern District of Illinois, United States Attorney's Office
Kathryn A. Pyszka
~ Assistant Regional Director, Chicago Regional Office and Market Abuse Unit, U.S. Securities & Exchange Commission
Kevin M. Robinson
~ Senior Managing Director, General Counsel and Corporate Secretary, Guggenheim Investments
Chicago Seminar Location
University of Chicago Gleacher Center, 450 N. Cityfront Plaza Drive, Chicago, Illinois 60611. (312) 464-8787.
Chicago Hotel Accommodations
InterContinental Chicago Magnificent Mile, 505 North Michigan Avenue, Chicago, Illinois 60611. (800) 628-2112. Please contact hotel directly in order to receive the preferred rate. When calling, please mention PLI and the name of the program you are attending. The cut-off date for the preferred rate is May 20, 2013.
Sheraton Chicago Hotel & Towers, 301 E. North Water Street, Chicago, Illinois 60611. (312) 464-1000. When calling, please mention PLI and the name of the program you are attending. The cut-off date for the preferred rate is May 10, 2013.
PLI programs qualify for credit in all states that require mandatory continuing legal education for attorneys. Please be sure to check with your state and the credit calculator to the right for details.
Please check the CLE Calculator above each product description for CLE information specific to your state.
Special Note: In New York, newly admitted attorneys may receive CLE credit only for attendance at "transitional" programs during their first two years of admission to the Bar. Non-traditional course formats such as on-demand web programs or recorded items, are not acceptable for CLE credit. Experienced attorneys may choose to attend and receive CLE credit for either a transitional course or for one geared to experienced attorneys. All product types, including on-demand web programs and recorded items, are approved for experienced attorneys.
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.
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.
Credit will be granted only to the individual on record as the purchaser unless alternative arrangements (prearranged groupcast) are made in advance.