HomeWebcastCross-Border Internal Investigations: Retooling Your Firm’s Investigation Framework
Cross-Border Internal Investigations CLE/CPE CLE

Cross-Border Internal Investigations: Retooling Your Firm’s Investigation Framework

Live Webcast Date: Thursday, June 16, 2016 from 10:00 am to 12:00 pm (ET)
Legal (CLE)Recording

Cross-Border Internal Investigations CLE/CPE

Join us for this Knowledge Group Cross-Border Internal Investigations CLE/CPE Webinar. With the continuous onslaught of domestic corporate misconduct, rigorous enforcement actions and internal investigations have become commonplace, especially for regulatory authorities. When these internal investigations become global, they can reach a very challenging level of complexity and difficulty. Thus, it is critical for companies to review and retool their investigation framework accordingly so as to minimize potential risks and liabilities.

In this two-hour Webcast, a panel of distinguished professionals and thought leaders assembled by the Knowledge Group will provide the audience with an in-depth discussion of Cross-Border Internal Investigations. Their presentation will address the important issues surrounding financial reporting fraud, breaches of fiduciary duty and officer and director misconduct. Speakers will also offer best practices in retooling firms’ investigation model, mitigating legal pitfalls and risks and ensuring compliance with applicable laws.

  • Cross-Border Internal Investigations
  • Local Employment Laws
  • Data Privacy Compliance
  • Coordination with Foreign Regulators
  • Possible Liabilities under the FCPA
  • Recent FCPA Enforcement Cases
  • Best Compliance Practices

Agenda

SEGMENT 1:
James Walker, Partner
Richards Kibbe & Orbe LLP
  • Are there differing standards of attorney-client privilege and different recognition of work product across the relevant jurisdictions, and how will this affect communications with clients, document production, and the treatment of notes and memoranda developed from witness interviews?
  • Are there confidentiality obligations across jurisdictions that may affect the investigator’s access to information and/or ability to disclose information?
  • Will the attorney-client privilege extend to communications with third-parties who assist in the investigation (e.g., forensic specialists)?
  • How can information be collected in compliance with different data privacy laws while also ensuring that compliance does not impede the investigation or compliance with U.S. government information requests?
  • How will competing document and information demands from parallel government investigations in non-U.S. jurisdictions affect the ability to investigate thoroughly and efficiently, and is coordination of investigatory efforts possible?

SEGMENT 2:
Yvonne M. Williams-Wass, Attorney
Sutherland, Asbill & Brennan LLP
  • Current Legal & Regulatory Landscape and Enforcement Priorities 
    • Yates Memorandum and greater focus on individual liability in the United States
    • Financial Market Abuse
      • Cross-border cooperation with US SEC/DOJ and UK Serious Fraud Office
    • Bribery and Corrupt Practices
      • Contrasts between the U.S. Foreign Corrupt Practices Act and the UK Bribery Act 2010
    • Cross-Border Tax Enforcement
    • Whistleblower Protection (or lack thereof)
      • Dodd-Frank Act’s whistleblower anti-retaliation protections do not apply extraterritorially
  • Best Practices Before An Investigation [[The before and after investigation comments may book-end nicely with some of Jim’s thoughts on privilege/conducting an investigation]]
    • Implementing a Code of Conduct
      • Recent emphasis on “tone at the top” from DOJ/SEC
    • Implement Clear Whistleblower Procedures
      • Note: difference between countries in whether or not calls can be anonymous (Spain/Portugal)
      • Note: some countries require employee consent/consultation re: hotlines
    • Building Data Export Channels
    • Why this all matters:
      • Mitigating Factor
      • Ease of investigation
  • Remedial Actions After An Investigation
    • Implication for audit and accounting functions
    • Reports to Management and Boards of Directors
    • Disciplinary Measures
    • Consider “Self-Reporting”
      • Note: Does this actually benefit the company?
    • Significant debate regarding SEC/DOJ credit for compliance
      • Note: Requirement to self-report in jurisdictions (examples: Slovakia, New South Wales, UK)

SEGMENT 3:
Thilo Mahnhold, Partner
JUSTEM Rechtsanwälte
  • Collecting evidence: Email monitoring, computer forensics and video surveillance in the light of German data privacy laws; legal framework and consequences of non-compliance (e.g., inadmissibility of evidence at the Labor Courts in case of dismissals, worst case criminal offence of investigating employer).
  • Interviewing employees: Obligation to collaborate with employer versus privilege against self-incrimination.
  • Role of works councils in the context of an investigation.
  • Dismissing suspects: The legal framework of dismissal protection including legal prerequisites of dismissals for misconduct or at a minimum a strong suspicion of misconduct; timing of dismissals for good cause (timelines and tactics); efficient CMS as prerequisite for such dismissals?
  • Suing employees for damages: Legal background and pitfalls.

Who Should Attend

  • In-House Lawyers
  • Attorneys General
  • International Arbitration Lawyers
  • Risk and Compliance Officers
  • Arbitrators and Mediators
  • Legal Executives
  • Litigators
  • Other Interested/Related Professionals

Cross-Border Internal Investigations CLE/CPE

SEGMENT 1:
James Walker, Partner
Richards Kibbe & Orbe LLP
  • Are there differing standards of attorney-client privilege and different recognition of work product across the relevant jurisdictions, and how will this affect communications with clients, document production, and the treatment of notes and memoranda developed from witness interviews?
  • Are there confidentiality obligations across jurisdictions that may affect the investigator’s access to information and/or ability to disclose information?
  • Will the attorney-client privilege extend to communications with third-parties who assist in the investigation (e.g., forensic specialists)?
  • How can information be collected in compliance with different data privacy laws while also ensuring that compliance does not impede the investigation or compliance with U.S. government information requests?
  • How will competing document and information demands from parallel government investigations in non-U.S. jurisdictions affect the ability to investigate thoroughly and efficiently, and is coordination of investigatory efforts possible?

SEGMENT 2:
Yvonne M. Williams-Wass, Attorney
Sutherland, Asbill & Brennan LLP
  • Current Legal & Regulatory Landscape and Enforcement Priorities 
    • Yates Memorandum and greater focus on individual liability in the United States
    • Financial Market Abuse
      • Cross-border cooperation with US SEC/DOJ and UK Serious Fraud Office
    • Bribery and Corrupt Practices
      • Contrasts between the U.S. Foreign Corrupt Practices Act and the UK Bribery Act 2010
    • Cross-Border Tax Enforcement
    • Whistleblower Protection (or lack thereof)
      • Dodd-Frank Act’s whistleblower anti-retaliation protections do not apply extraterritorially
  • Best Practices Before An Investigation [[The before and after investigation comments may book-end nicely with some of Jim’s thoughts on privilege/conducting an investigation]]
    • Implementing a Code of Conduct
      • Recent emphasis on “tone at the top” from DOJ/SEC
    • Implement Clear Whistleblower Procedures
      • Note: difference between countries in whether or not calls can be anonymous (Spain/Portugal)
      • Note: some countries require employee consent/consultation re: hotlines
    • Building Data Export Channels
    • Why this all matters:
      • Mitigating Factor
      • Ease of investigation
  • Remedial Actions After An Investigation
    • Implication for audit and accounting functions
    • Reports to Management and Boards of Directors
    • Disciplinary Measures
    • Consider “Self-Reporting”
      • Note: Does this actually benefit the company?
    • Significant debate regarding SEC/DOJ credit for compliance
      • Note: Requirement to self-report in jurisdictions (examples: Slovakia, New South Wales, UK)

SEGMENT 3:
Thilo Mahnhold, Partner
JUSTEM Rechtsanwälte
  • Collecting evidence: Email monitoring, computer forensics and video surveillance in the light of German data privacy laws; legal framework and consequences of non-compliance (e.g., inadmissibility of evidence at the Labor Courts in case of dismissals, worst case criminal offence of investigating employer).
  • Interviewing employees: Obligation to collaborate with employer versus privilege against self-incrimination.
  • Role of works councils in the context of an investigation.
  • Dismissing suspects: The legal framework of dismissal protection including legal prerequisites of dismissals for misconduct or at a minimum a strong suspicion of misconduct; timing of dismissals for good cause (timelines and tactics); efficient CMS as prerequisite for such dismissals?
  • Suing employees for damages: Legal background and pitfalls.

Cross-Border Internal Investigations CLE/CPE

Cross-Border Internal Investigations CLE/CPE

James WalkerPartnerRichards Kibbe & Orbe LLP

James Walker represents companies, board directors, senior executives, law firms and lawyers in government and internal investigations of criminal misconduct, and in civil litigation and regulatory proceedings. He also represents law firms and lawyers in professional liability matters.  Representative engagements include:

Representing the audit committee of an alternative asset manager in FCPA investigations involving investments in Africa;

Representing senior executives at a NYSE-listed foreign company in internal and government investigations of possible FCPA violations involving Eastern European subsidiaries;

Cross-Border Internal Investigations CLE/CPE

Yvonne M. Williams-WassAttorneySutherland, Asbill & Brennan LLP

Yvonne Williams-Wass defends clients in investigations, enforcement actions, and litigation brought by the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), state regulators, and private litigants. She also represents audit or special committees or the boards of directors at public or private companies, investigating securities law violations, financial reporting fraud, breaches of fiduciary duty, and officer and director misconduct.

Cross-Border Internal Investigations CLE/CPE

Thilo MahnholdPartnerJUSTEM Rechtsanwälte

Thilo advises employers in the whole sphere of labor and employment law with a special focus on co-determination matters as well as court litigation. Furthermore, Thilo has a broad experience in employee data protection matters and especially in the areas of compliance and whistleblowing which brought him an entry as a frequently recommended employment lawyer in the JUVE handbook for German Commercial Law Firms. Additionally he is listed in Best Lawyers Germany.

Thilo Mahnhold advises national and international companies, particularly in the parcel delivery service and logistics sector and the manufacturing and technology industry.

Thilo started his legal career in 2004 in the labor law department of the Frankfurt office of Freshfields. He is a founding member of JUSTEM Rechtsanwälte and has been a partner since 2007.


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Cross-Border Internal Investigations CLE/CPE

Course Level:
   Intermediate

Advance Preparation:
   Print and review course materials

Method Of Presentation:
   On-demand Webcast

Prerequisite:
   NONE

Course Code:
   145349

NASBA Field of Study:
   Specialized Knowledge and Applications

NY Category of CLE Credit:
   Skills

Total Credits:
    2.0 CLE

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About the Knowledge Group

The Knowledge Group

The Knowledge Group has been a leading global provider of Continuing Education (CLE, CPE) for over 13 Years. We produce over 450 LIVE webcasts annually and have a catalog of over 4,000 on-demand courses.

About the Knowledge Group

The Knowledge Group

The Knowledge Group has been a leading global provider of Continuing Education (CLE, CPE) for over 13 Years. We produce over 450 LIVE webcasts annually and have a catalog of over 4,000 on-demand courses.

Richards Kibbe & Orbe LLP has long been a go-to firm in the fields of cross-border enforcement, government investigations and criminal defense.  The firm has a proven record of navigating difficult regulatory and criminal issues, from high profile investigations, parallel criminal and regulatory proceedings to the latest hot-button international enforcement situations.

For 25 years, the firm has helped clients facing potential scrutiny in multiple jurisdictions and confronting severe civil, criminal and reputational penalties. RK&O’s highly skilled team draws on the key attributes of the firm: a renowned white-collar practice, a proficiency in regulatory counseling, an ability to seamlessly manage parallel proceedings, and vast cross-border experience.

The RK&O team understands the enforcement perspective and can foresee future challenges lurking around the corner. They deeply understand the importance of international cooperation and the complications of regulatory exposure in multiple jurisdictions.

Website: https://www.rkollp.com/

Founded in 1924, Sutherland Asbill & Brennan handles matters throughout the United States and worldwide. Seven major practice areas—corporate, energy and environmental, financial services, intellectual property, litigation, real estate, and tax—provide the framework for an extensive range of focus areas, allowing Sutherland attorneys to serve a diverse client base that ranges from small and medium-sized start-up businesses to a significant number of Fortune 100 companies. The firm now has more than 425 lawyers and represents clients around the globe from its offices in Atlanta, Austin, Geneva, Houston, London, New York, Sacramento and Washington.

Website: https://www.sutherland.com/

Founded in 2006 as a spin-off from Freshfields in Frankfurt, JUSTEM Rechtsanwälte is an independent law firm that advises German and international companies on all issues of employment and labor law. JUSTEM offers individualized service and court representation at the highest professional level.

JUSTEM’s advice is highly regarded by medium-sized enterprises and listed companies from a variety of industries, including transport and logistics, banking and finance, manufacturing and technology, or trade. JUSTEM has a strong international client base, mostly from the UK, the U.S. and European countries.

The lawyers at JUSTEM have broad experience and an understanding of various business settings and legal cultures.

In 2011 JUSTEM was elected Law Firm of the Year for Employment Law in Germany by publishing house JUVE and is also recommended as an employment law firm in the German edition of Legal 500.

Website: https://www.justem.de/en

James Walker represents companies, board directors, senior executives, law firms and lawyers in government and internal investigations of criminal misconduct, and in civil litigation and regulatory proceedings. He also represents law firms and lawyers in professional liability matters.  Representative engagements include:

Representing the audit committee of an alternative asset manager in FCPA investigations involving investments in Africa;

Representing senior executives at a NYSE-listed foreign company in internal and government investigations of possible FCPA violations involving Eastern European subsidiaries;

Yvonne Williams-Wass defends clients in investigations, enforcement actions, and litigation brought by the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), state regulators, and private litigants. She also represents audit or special committees or the boards of directors at public or private companies, investigating securities law violations, financial reporting fraud, breaches of fiduciary duty, and officer and director misconduct.

Thilo advises employers in the whole sphere of labor and employment law with a special focus on co-determination matters as well as court litigation. Furthermore, Thilo has a broad experience in employee data protection matters and especially in the areas of compliance and whistleblowing which brought him an entry as a frequently recommended employment lawyer in the JUVE handbook for German Commercial Law Firms. Additionally he is listed in Best Lawyers Germany.

Thilo Mahnhold advises national and international companies, particularly in the parcel delivery service and logistics sector and the manufacturing and technology industry.

Thilo started his legal career in 2004 in the labor law department of the Frankfurt office of Freshfields. He is a founding member of JUSTEM Rechtsanwälte and has been a partner since 2007.

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