Internal Investigations 2009: How to Protect Your Clients or Company

Overview

Recently admitted NY attorneys: This program is accredited for transitional CLE credit

Why You Should Attend

The number of and reasons for internal investigations continues to rise, and given the current market environment, this trend will no doubt continue.  In order to best serve your clients or company and limit exposure, you need to know when and how to conduct effective and legal internal investigations.  An expert faculty comprised of top government regulators and leading practitioners from corporations, law firms and financial institutions will provide practical insights and advice and give you the real-world tools you need to effectively counsel your clients or company.  This program will take you through an internal investigation from the beginning (when is there an issue, who should you tell, who should conduct the investigation, when do you need to interface with government, what if the government calls you?) to the end (when to prepare a report, corrective actions) and will cover all of the legal and ethical issues you will face in between.

What You Will Learn

• How to conduct an internal investigation from A-Z
• When you should disclose and when you should not
• Who should and shouldn't be involved in the investigation
• When and how to work with outside experts and investigators
• How to deal effectively with auditors
• Communication with media consultants
• Who is the client and who owns the privilege?
• Latest guidance from the Department of Justice on "cooperation" and other issues
• The government's use, evaluation and weighing of internal investigations
• Ethical issues: warnings to witnesses, representational issues, the rights of employees, avoiding obstruction, indemnification and advancement
• Learn the practical dos and don'ts of conducing internal investigations through a real-world hypothetical
• Implications of consent-to-settlement and other insurance provisions
• Changes in approach based on the new administration
• Differences when responding to state Attorney General investigations
• What kinds of issues arise in cross-border investigations?

Who Should Attend

In-house and outside corporate counsel, internal auditors and compliance officers who conduct internal investigations will not want to miss this program. In addition, forensic accountants and other experts that handle internal investigations and government attorneys will find this program extremely valuable.

Special Features

Live Webcast - Simultaneous live webcast of the San Francisco session is available for individual viewing. Webcast participants will receive streaming audio and/or video of the program, view and print the Course Handbook, and have the ability to submit questions electronically.

For more information click on the Live Webcast link in the Related Items box.

Special Bonus to all Registrants

All attendees will receive a complimentary copy of PLI's comprehensive Course Handbook. This softcover, bound volume was written to augment the program and to stand alone as a permanent reference. PLI's Course Handbooks represent the definitive thinking of the nation's finest legal minds, and are often the standard reference in the field.

Please Note: Webcast attendees will receive a downloadable version of the Handbook one business day prior to the program.

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 membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

What last year’s attendees said about the program

“Excellent program overall — I particularly enjoyed the in-house counsel perspective. It provided balance and perspective to the discussions by outside counsel and government. I also enjoyed the mock presentations and the discussions that followed such presentations.”
– Angelica Toro, Banco Popular De Puerto Rico, San Juan, PR

“Well-paced and informative, the program identified the important issues and provided for a lively discussion of approaches and strategies to practical, real-life problems.”
– Robert Craig Whitehead, Bank of America, New York City

“This was an absolutely fantastic program. The participants were engaged and engaging. Thank you.”
– Michael G. Rossetti, Akin Gump Strauss Hauer & Feld, Washington, D.C.

Cancellations

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.

Schedule

Please plan to arrive with enough time to register before the conference begins. A networking breakfast will be available upon your arrival.

Morning Session: 9:00 a.m. - 12:30 p.m.

9:00 Opening Remarks and Introduction

9:15 Commencing the Investigation

• When is an internal investigation needed?
• Who should conduct the internal investigation?
• When should outside counsel conduct the investigation?
• What is the proper role of in-house counsel in the investigation?
• What is the appropriate scope of an investigation?
• Document retention, preservation and disclosure issues
• Communications to auditors and regulators

N. Kestenbaum (Moderator), D. Cooperman, H. Gilliam, D. Young

10:15 Conducting the Investigation

• Employee interviews
• Employee issues and obligations: advice, rights and liability in light of recent cases
• Former employee interviews
• Representational issues
• Privilege issues
  - Identifying the “client”
  - Practical impact of the changes in government policies
  - Communications with media consultants
• Perspective of in-house counsel
• Dealing with the auditors: creative approaches
• Issues arising in cross-border investigations

R. Tarun (Moderator), D. Anders, L. Bertain, K. Francis, S. Marsch

11:15 Networking Break

11:30 Dealing with the Regulators

•  The regulators’ perspectives on internal investigations
•  Changes in approach in the new administration
•  Are other regulators following the DOJ approach?
•  Increase in state AG investigations
•  What, when and how to communicate with the regulators
•  Handling regulators’ requests for privilege or work product waiver
•  How do the regulators use a company’s internal investigation?

W. Kimball (Moderator), D. Bookin, M. Dicke, H. Morrison, D. Yang

12:30 Lunch

Afternoon Session: 1:30 p.m. - 4:45 p.m.

1:30 Concluding the Investigation

• When to prepare a report
• Alternatives to a written report
• Contents of the report: type, how much detail, facts vs. legal conclusions
• Handling requests to see the report
• Corrective actions
• Cooperation with the government
  - Waiver issues
  - Public disclosure of results

D. Bayless (Moderator), W. Brown, S. Marsch, C. Martin

2:30 Ethical Traps in Internal Investigations

• Warnings to witnesses
• Representational issues
• The rights of employees
• Avoiding obstruction
• Sharing information with employees
• Indemnification and advancement

R. Morvillo (Moderator), D. Bayless, B. Martin, C. Martin, L. Rubin

3:30 Networking Break

3:45 Ethical Traps in Internal Investigations (continued)

4:45 Adjourn

Faculty

Co-Chair(s)

David B. Bayless, Covington & Burling LLP
Richard J. Morvillo, Schulte Roth & Zabel LLP

Speaker(s)

David B. Anders, Wachtell, Lipton, Rosen & Katz
Lisa M Bertain, Keesal Young & Logan
Daniel H. Bookin, O'Melveny & Myers LLP
Walter F. Brown, Jr., Orrick Herrington & Sutcliffe LLP
Daniel Cooperman, Apple Inc.
Michael S. Dicke, Associate Regional Director, Enforcement, U.S. Securities and Exchange Commission
Kerry Francis, Deloitte Financial Advisory Services LLP
Haywood S. Gilliam, Covington & Burling LLP
Nancy Kestenbaum, Covington & Burling LLP
William H Kimball, Morgan Lewis & Bockius LLP
Susan Marsch, Senior Vice President, General Counsel and Chief Ethics Officer, UTStarcom, Inc.
Brian M. Martin, Senior Vice President General Counsel and Secretary, KLA-Tencor Corporation
Craig D Martin, Morrison & Foerster LLP
Helane L. Morrison, General Counsel and Chief Compliance Officer, Hall Capital Partners LLC
Lee H. Rubin, Mayer Brown LLP
Robert W. Tarun, Baker & McKenzie
Debra Wong Yang, Gibson Dunn & Crutcher LLP
Douglas Young, Farella Braun & Martel LLP

Program Attorney(s)

Laura R. Shields, Assistant Director, Programs, Practising Law Institute

CLE Credit

Travel Information

San Francisco Seminar Location

PLI California Center, 685 Market Street, San Francisco, California 94105. (415) 498-2800.

San Francisco Hotel Accommodations

The Palace Hotel, 2 New Montgomery Street, San Francisco, California 94105. Call (800) 917-7456 seven days a week from 6:00 am to 12:00 am (PDT) and mention you are attending this program at Practising Law Institute to receive the preferred rate. For online reservations, go to www.sfpalace.com/pli to receive the preferred rate.

Due to high demand we recommend reserving hotel rooms as early as possible.