1-Hour Program

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Overview

Certified Fraud Examiners routinely conduct internal investigations.  Attorneys also conduct investigations, and often follow distinct practices.  In this One-Hour Briefing, Katherine J. Stoller (Shearman & Sterling LLP) and Samuel W. Seymour (Sullivan & Cromwell LLP) will share how legal considerations can inform investigative techniques and procedures for CFEs.  They will discuss some of the common legal pitfalls and liability issues that arise in internal investigations, and describe best practices to avoid these issues in an effective internal investigation. They will address:

  • Initial planning considerations, including document retention, scope of investigation and successful investigative work plans. (10 minutes)
  • Techniques for organizing investigations, deploying resources, and reporting investigative findings.  This will include recommended practices for avoiding conflicts of interest. (10 minutes)
  • The scope and function of the attorney-client privilege and attorney work-product doctrine in investigations.  How CFEs and attorneys can leverage their respective skills and perspectives in conducting investigations. (15 minutes)
  • Best practices in witness interviews, including so-called Upjohn warnings and how to avoid conflicts issues and other challenges to investigative integrity.  Notetaking and sharing of interview notes will be covered, as well as common issues that arise after witness interviews. (20 minutes)
  • How interviews of current and former employees should be handled, including the complexities raised by whistleblower laws and policies. (10 minutes)
  • Specific privacy issues with documents and witnesses from the European Union, and other data privacy considerations under U.S. law. (5 minutes)

 

 

Program Level:  Update

Intended Audience:  Certified Fraud Examiners, legal, compliance and HR professionals responsible for conducting internal investigations for clients across a wide range of subjects, including potential employee misconduct, employment issues, and business practices

Prerequisites:  None

Advanced Preparation:  None

Credit Details