Conducting Internal Investigations: Strategic Step-by-Step Guide for 2018
An effective internal investigation depends upon the expertise and competence of a company’s legal counsel and investigation team. In recent years, internal investigations have become larger and more complex that companies who are not well-equipped often fall into a sure abyss of legal and regulatory pitfalls.
Listen as a panel of key thought leaders and seasoned professionals in government and internal investigations, as well as employment litigation and counseling, discuss the fundamentals of conducting an effective and efficient investigation on matters that include "insider threats" and other alleged company rule violations. Speakers will also provide the audience with a strategic step-by-step guide during and after an internal investigation and will offer expert thoughts in conducting internal investigations to maximize possible benefits to a company when done successfully.
Some of the major topics will include, but not limited to:
- Key Components of an Internal Investigation
- Timing of Investigations
- Nature and Scope of the Investigation
- Managing Relationships During Internal Investigations
- Document Retention and Data Privacy Issues
- The Intersection of Labor and Employment Law and Internal Investigations
- Protecting Confidentiality in Investigations and When to Disclose
- Employee Privacy Pitfalls
- Preserving Evidence During/After an Investigation
- Legal Consequences for Unlawful Data Collection
- Identifying Common Sources of Fraud and Other Risk Factors
- Common Strategies and Best Practices
Cory E. Manning, Partner
Nelson Mullins Riley & Scarborough LLP
- Whether to investigate
- Setting a scope for the investigation
- Developing an investigative plan
- Documents and ESI
- Interviewing witnesses (Yates considerations)
- Dialoguing with regulators
Helen M. McFarland, Member, Labor & Employment Department
- Attorney client privilege with respect to investigations
- Confidentiality in investigation
- NLRB restrictions on employer confidentiality
- Employee Privacy Issues
Eric H. Jaso, Partner
- Scope/subject of the subpoena.
- Contacting the government to find out as much as you can about the investigation (retaining outside counsel)
- Litigation hold email to all employees ASAP (affirmative acknowledgment)
- Dealing with the natural reaction: Is there a whistleblower? Who is the whistleblower? Advice to management and employees. Prevent any action that could be viewed as retaliation
- Initiating the internal investigation.
- If a public company, disclose/report? Materiality - need to ascertain potential quantum of damages
- Privilege/Yates issues
Jonathan A. Roberts, Partner
Meister Seelig & Fein LLP
- Dealing with Departing Employees
- What can be included in separation/severance agreements?
- Dealing with auditors
- What will the Auditor want to know?
- Section 10(A) investigations- Practical tips for handling investigations during the course of an audit
- Dealing with the Government
- Presentations to the Government – Providing facts but minimizing privilege disclosures and other strategic considerations in reporting to the Government
Who Should Attend:
- C Level Executives
- Top Level Management
- In-house Counsel
- Compliance and Ethics Managers
- Compliance Officers
- Private Companies
- Other Interested Professionals
Helen McFarland, of Cozen O’Connor’s Labor & Employment department, focuses her practice on employment litigation and counseling for a broad range of California, Washington and Oregon employers, professionals, insurers and businesses. She advises clients on the entire gamut of employment issues, including hiring and firing employees, avoiding harassment and discrimination claims, responding to leave requests, accommodating disabilities or claimed disabilities, ensuring wage and hour compliance, handling grievances and investigations, and drafting employee handbooks, agreements, and other employment policies.
Helen McFarland, of Cozen O’Connor’s Labor & Employment department, focuses her practice on employment litigation and counseling for a broad …
Cory E. Manning is a partner of Nelson Mullins Riley & Scarborough LLP and practices in the areas of corporate investigations, securities litigation, business litigation, and class action defense. He co-chairs the Firm's Government Investigations and White Collar Defense practice group.
Cory E. Manning is a partner of Nelson Mullins Riley & Scarborough LLP and practices in the areas of corporate …
Eric H. Jaso, a former federal prosecutor and official of the U.S. Departments of Justice and Education, draws on his extensive experience in government and private practice to provide corporations and individuals thoughtful and nuanced counsel, assertively advocating his clients’ interests in their most complex and challenging matters. Having practiced on “both sides of the V” in civil and criminal cases, Eric gives his clients a uniquely well-informed perspective of “how the system works” and brings the skills to navigate that system to achieve their goals.
For nearly a quarter century, Eric has represented corporations and individuals in a wide variety of civil and criminal cases and matters, in areas including healthcare, employment, government contracting, government fraud, investigations, business “divorces” and other complex matters. He handles litigation at all levels, from investigative/pre-trial stages through discovery, trial, post-trial, and appeals, including to the U.S. and state Supreme Courts.
Eric H. Jaso, a former federal prosecutor and official of the U.S. Departments of Justice and Education, draws on his …
Jonathan Roberts is a Partner at Meister Seelig & Fein LLP in the firm’s White Collar and Government Investigations and Commercial Litigation groups and represents clients in a variety of governmental investigations and regulatory matters as well as litigation.
Mr. Roberts represents companies, their employees, and other individuals in civil and regulatory matters, including investigations before the U.S. Securities and Exchange Commission (SEC), the US Department of Justice, the Financial Industry Regulatory Authority (FINRA), the Public Company Accounting Oversight Board (PCAOB), various state regulators and Self-Regulatory Organizations. Mr. Roberts also regularly conducts corporate and internal investigations involving securities and financial services regulatory issues including whistleblower matters.
Prior to joining MSF, Mr. Roberts was Senior Global Legal Counsel for EY in New York. He also spent three years in London at EY Global's headquarters where he managed regulatory enforcement matters. Earlier in his career Mr. Roberts was Senior Counsel in the SEC's Division of Enforcement where he handled investigations and litigation related to financial fraud and insider trading. He began his career as an associate at Thelen Reid & Priest in New York.
Mr. Roberts holds B.A. and M.A. degrees from Johns Hopkins University, a M.SC.
degree in Public Policy and Public Administration from the London School of Economics and a J.D. degree from the University of Pennsylvania.
Jonathan Roberts is a Partner at Meister Seelig & Fein LLP in the firm’s White Collar and Government Investigations and …
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Method of Presentation:
Experience in corporate law
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About Cozen O'Connor
Established in 1970 and ranked among the top 100 law firms in America, Cozen O’Connor has more than 600 attorneys who help clients manage risk and make better business decisions. The firm counsels clients on their most sophisticated legal matters in all areas of the law, including litigation, corporate, and regulatory law. Representing a broad array of leading global corporations and middle market companies, Cozen O’Connor services its clients’ needs through 25 offices across two continents.
About Nelson Mullins Riley & Scarborough LLP
Nelson Mullins’s Government Investigations and White Collar Defense group has a team of 33 attorneys who counsel clients on responding to a regulatory civil investigative demand, grand-jury subpoena, or informal regulatory inquiry and guide them in providing formal, on-the-record testimony. The group can draw on the resources of Nelson Mullins’s 525 attorneys in more than 80 practice areas in 17 offices in 10 states and the District of Columbia. For more information, visit www.nelsonmullins.com
About Spiro Harrison
Spiro Harrison offers strategic counsel on complex litigation, disputes, investigations and transactions with a focus on representing emerging and mid-market businesses and investment funds, and the entrepreneurs, executives and directors behind them. Our firm is a collaboration of highly experienced, creative and strategic lawyers from big-law practices, dedicated to superior client service and results. We formed this law firm to offer clients a boutique approach to their most sophisticated and sensitive matters. Visit us at www.spiroharrison.com
About Meister Seelig & Fein LLP
Meister Seelig & Fein LLP is a full service commercial law firm with offices in New York, New Jersey, Connecticut, Massachusetts and California. Over the years, we have built strong and enduring relationships with our clients through our commitment to client advocacy and our creative and pragmatic approach to problem solving. Our clients appreciate our responsive approach to servicing their business and our ability to contribute value to the achievement of their business goals. We provide an array of legal services throughout the U.S. and the world to both public and private companies across nearly every industry, including hedge funds, real estate investors, funds and real estate developers, entrepreneurs, professional athletes, entertainers, creatives, not for profits, educational and cultural institutions.