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Internal Investigations (PLI Webcast)
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Internal Investigations (PLI Webcast)

Groupcast at the offices of the Atlanta Bar Association

When: 06/25/2015
9:00 AM to 4:45 PM
Where: Atlanta Bar Association
229 Peachtree Street NE
Suite 400
Atlanta, Georgia  30303
United States
Contact: (404) 521-0781

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Practicing Law Institute and Atlanta Bar CLE will continue working together to bring PLI programs to you! 
PLI is dedicated to providing the legal community with the most up-to-date, relevant information and techniques which are critical to the development of a professional, competitive edge. 
More of PLI's sophisticated and cutting-edge programs will be webcast live at the Atlanta Bar Association Office through May 2016. 

6 CLE hours, including 1 Ethics hour


Commencing the Investigation: Considerations at the Outset 

  • How do you deal with allegations by a whistleblower?
  • What are the labor and employment issues?
  • When is an investigation warranted?
  • Who should oversee the investigation?
  • Who should conduct the investigation? In-house vs. outside counsel
  • What is the appropriate scope of the investigation?
  • Who should know about the investigation?
  • What steps should be taken to preserve documents?
  • What are the considerations of the plaintiff’s lawyer?
  • How can you manage the costs of an investigation?
  • Dealing with international issues?

Conducting the Investigation - Considerations, Processes and Procedures

  • Gathering documents
  • Employee interviews
  • Employee issues and obligations: advice, rights and liability in light of recent cases
  • Former employee interviews
  • When should employees or former employees have their own counsel?
  • How to deal with counsel for individuals
  • Dealing with the auditors
  • Dealing with international issues: attorney client privilege in other countries, language issues?

Conducting the Investigation - Privilege Issues and Ethical Traps in Conducting the Investigation 

  • Protecting the investigation: Attorney client privilege and work product issues
  • Representational issues
  • Warnings to witnesses
  • How to respond to questions from interviewees
  • Avoiding obstruction
  • Other ethical dilemmas 

Concluding the Investigation 

  • Reaching findings
  • Memorializing conclusions
  • When to prepare a written report
  • Alternatives to a written report
  • Contents of the report:  detail, facts v. legal conclusions
  • Who sees the report:  handling third-party requests
  • Corrective actions/remediation
  • Whether and how to self-report

Regulators Roundtable 

  • The regulators’ perspectives on internal investigations
  • Disclosing the investigation to regulators: why, when and how
  • Regulators’ perspectives on how companies navigate whistleblower issues. Has Dodd-Frank changed
  • how regulators are handling these issues and what they expect from companies?
  • Maintaining a dialogue with the regulators during the investigation
  • What will the regulators want to know?
  • Challenges posed by international investigations
  • Cooperation with the government
    - Waiver issues
    - Public disclosure of results

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