Investigating Alleged Internal Corporate Misconduct: Best Practices for Companies and Counsel
Balancing Investigative Objectives Against Business Needs and Realities
Course Details
- smart_display Format
On-Demand
- signal_cellular_alt Difficulty Level
- work Practice Area
Corporate Law
- event Date
Thursday, February 18, 2021
- schedule Time
1:00 p.m. ET./10:00 a.m. PT
- timer Program Length
90 minutes
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This 90-minute webinar is eligible in most states for 1.5 CLE credits.
This CLE course will update counsel on the 2020 American College of Trial Lawyer's current recommendations on evaluating whether to conduct a corporate internal investigation and, if so, strategies for conducting and managing the investigation to minimize the likelihood of a government investigation and reduce potential penalties for wrongdoing.
Ms. Mirabella advises clients on a broad range of issues in connection with government and internal investigations, special committee and board-led investigations, whistleblower complaints, and building, enhancing and testing compliance programs. As a part of her work, she represents public companies, financial institutions, and senior officers in connection with high-profile and complex matters including domestic and cross-border internal investigations as well as investigations initiated by the Department of Justice, U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA) and other federal and state regulators. Ms. Mirabella has handled matters involving, among other things, the Foreign Corrupt Practices Act (FCPA), the False Claims Act (FCA) and various securities laws and regulations.
Ms. Viglucci has experience reviewing, assessing, designing, and implementing compliance programs, and representing corporations in civil and criminal litigation including in litigation involving government investigations and enforcement actions.
The most recent set of recommendations from the American College of Trial Lawyers provides guidance on conducting internal audits in cases where corporate bad acts are alleged. Companies must be more diligent in identifying and remedying areas of potential corporate liability. Internal investigations can be an effective mechanism for detecting and correcting violations and vulnerabilities in corporate policies and practices.
When undertaking an internal investigation, businesses and their counsel must consider several legal, ethical, and practical issues, including whether to conduct an internal investigation at all, how to investigate in a cost-effective manner, how to manage privilege issues, confidentiality concerns and potential conflicts of interest, and steps to take post-investigation to minimize the likelihood of a government investigation or penalty. The latest recommendations provide a roadmap and effective tools for counsel placed in this situation.
Listen as our authoritative panel of practitioners explains best practices for assessing when to conduct an internal investigation when there is suspected corporate malfeasance, key elements and challenges of internal investigations, practical guidance for conducting investigations, and effective post-investigation strategies.
- Initial organizational issues
- Creating the record, document review, and witness interviews
- Record of the investigation
- Post-investigation use of internal documents and work product
- Recommendations and best practices
The panel will review these and other key questions:
- What types of issues should trigger an internal investigation?
- What type of organizational issues should counsel consider when beginning an internal investigation?
- What privileges are implicated in investigations, and how can companies avoid compromising any legal protections?
- What precautions should counsel make when documenting an investigation?
