The Corporate Counsel's Guide to

Internal and External Investigations

Conducting & Managing Internal Investigations
Protecting Your Client When Responding to Government Investigations

Monday, May 17, 2004

About

Are You Prepared If Allegations Of Corporate Misconduct Hit Your Desk?

In today's environment, corporate counsel need to be proficient at both managing internal investigations of misconduct and responding to external investigations launched by government agencies. Whether the investigated conduct consists of simple theft or complex securities fraud that threatens the company's existence, every investigation requires careful planning, well-designed strategies and quick decision-making.

To assist counsel in avoiding the many pitfalls when conducting and responding to investigations, American Conference Institute has developed The Corporate Counsel's Guide to Internal and External Investigations. This information-packed publication will give you the strategies and practical advice you need to both conduct investigations into the types of alleged wrongdoing that corporations deal with today, and respond to government investigations.

In-house counsel from leading companies including America Online, Bear Stearns, Covance, Deutsche Bank, The Home Depot, Marsh and McClennan, Morgan Stanley, PricewaterhouseCoopers, Sanofi-Synthelabo and UBS Investment Bank and leading private practitioners (most with experience as federal prosecutors and in-house counsel) provided step-by-step information on how to conduct careful investigations and respond to government inquiries while protecting the company's and the shareholders' interests. You will also receive practical, in-depth information on:

  • Obligations and conflicts at the initial stages of the investigation
  • Conducting interviews and preserving written evidence
  • Understanding an employee's rights and protections when investigating alleged misconduct
  • What to do when confronted by a government subpoena or investigation
  • How to manage a potential crisis when charges become public knowledge
  • When to assert or waive privilege
  • Compliance initiatives that will minimize the likelihood of future misconduct

Also, regulatory and enforcement officials from the Securities and Exchange Commission, U.S. Attorney's Office and the NASD gave their perspectives on what they are looking for in investigations and disclosures.

Contents & Contributors

About

Are You Prepared If Allegations Of Corporate Misconduct Hit Your Desk?

In today's environment, corporate counsel need to be proficient at both managing internal investigations of misconduct and responding to external investigations launched by government agencies. Whether the investigated conduct consists of simple theft or complex securities fraud that threatens the company's existence, every investigation requires careful planning, well-designed strategies and quick decision-making.

To assist counsel in avoiding the many pitfalls when conducting and responding to investigations, American Conference Institute has developed The Corporate Counsel's Guide to Internal and External Investigations. This information-packed publication will give you the strategies and practical advice you need to both conduct investigations into the types of alleged wrongdoing that corporations deal with today, and respond to government investigations.

In-house counsel from leading companies including America Online, Bear Stearns, Covance, Deutsche Bank, The Home Depot, Marsh and McClennan, Morgan Stanley, PricewaterhouseCoopers, Sanofi-Synthelabo and UBS Investment Bank and leading private practitioners (most with experience as federal prosecutors and in-house counsel) provided step-by-step information on how to conduct careful investigations and respond to government inquiries while protecting the company's and the shareholders' interests. You will also receive practical, in-depth information on:

  • Obligations and conflicts at the initial stages of the investigation
  • Conducting interviews and preserving written evidence
  • Understanding an employee's rights and protections when investigating alleged misconduct
  • What to do when confronted by a government subpoena or investigation
  • How to manage a potential crisis when charges become public knowledge
  • When to assert or waive privilege
  • Compliance initiatives that will minimize the likelihood of future misconduct

Also, regulatory and enforcement officials from the Securities and Exchange Commission, U.S. Attorney's Office and the NASD gave their perspectives on what they are looking for in investigations and disclosures.

Contents & Contributors

DOCUMENT AND ELECTRONIC DATA DESTRUCTION AND RETENTION POLICIES AFTER SARBANES-OXLEY, OR "WHEN IS IT NOW SAFE TO SHRED UNWANTED DOCUMENTS?"
David M. Brodsky, Latham & Watkins
Pamela S. Palmer, Latham & Watkins
Matthew K. Roskoski, Latham & Watkins

DEFENDING AN EMPLOYEE DURING AN INTERNAL OR EXTERNAL INVESTIGATION
Anthony L. Cochran, Chivilis, Cochran, Larkins & Bever, LLP

WAIVE GOODBYE: THE ATTORNEY-CLIENT PRIVILEGE IN A POST-ENRON WORLD
Joseph F. Savage, Jr., Testa, Hurwitz & Thibeault

SILENCE IS NO LONGER GOLDEN: THE EROSION OF THE ATTORNEY-CLIENT PRIVILEGE
Joseph F. Savage, Jr., Testa Hurwitz & Thibeault
Stephanie R. Pratt, Testa, Hurwitz & Thibeault

"VOLUNTARY" WAIVER IN GOVERNMENT INVESTIGATIONS
Thomas F. Carlucci, Foley & Lardner

CONFLICTS, CONCERNS, AND IMPROPER INFLUENCES IN INTERNAL INVESTIGATIONS AND RELATED INQUIRIES
Robert S. Khuzami, Deutsche Bank

WHAT IN-HOUSE COUNSEL SHOULD KNOW ABOUT HOW TO CONDUCT AND INTERNAL INVESTIGATION: SOME KEY ISSUES
Sharie A. Brown, Foley & Lardner

CONDUCTING THE INTERNAL INVESTIGATION: EFFECTIVE PLANNING AND STRATEGIES FOR IN-HOUSE COUNSEL
James Lovett, Covance, Inc

AVOIDING MISSTEPS WHEN EXAMINING ALLEGED EMPLOYEE MISCONDUCT
Anthony T. Pierce, Akin Gump Strauss Hauer & Feld LLP
David M. Safon, Ford & Harrison LLP
John W. Hamlin, Marsh & McLennan Companies, Inc.
David C. Goldberg, America Online Inc.

IDENTIFYING AND MINIMIZING RISK IN ELECTRONIC DISCOVERY
Clifton C. Dutton, Ibis Consulting

DESIGNING AND IMPLEMENTING MEASURES TO PREVENT FUTURE MISCONDUCT: SOME PRACTICAL OBSERVATIONS
James Lovett, Covance Inc.
Robert E. Bostrom, Winston & Strawn

PROTECTING THE COMPANY DURING SECURITIES INVESTIGATIONS
Ira Gluck, NASD

SARBANES-OXLEY ENHANCEMENTS TO THE SEC'S ENFORCEMENT AUTHORITY
William R. Baker, III, Latham & Watkins LLP
Christopher E. Campbell, Latham & Watkins LLP

MANAGING HEALTHCARE FRAUD CASES
Michael E. Clark, Hamel Bowers & Clark LLP



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