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Government Investigation Bundle: Triggers, Internal Investigation Best Practices, Voluntary Cooperation, the Litigation Process, plus Resolution and Future Risk Planning

Contains material from Jun 2014

Government Investigation Bundle: Triggers, Internal Investigation Best Practices, Voluntary Cooperation, the Litigation Process, plus Resolution and Future Risk Planning
4.03 out of 5 stars
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Very interesting and informative.

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This was a very informative course for someone tangentially involved in government investigations.

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Session 1: Government Investigations, Part I: Investigative Triggers– An examination of the early and perhaps most critical stages of the investigative process, including considerations, strategies and ethical issues related to responding to a whistleblower, the government’s request for voluntary assistance, the investigatory subpoena, document preservation, early settlement and cooperation agreements, advising the board, and public reporting and public relations.
 
Session 2: Government Investigations, Part II: Best Practices for Internal Investigations – A look at the factors and circumstances that inform the decision to conduct an internal investigation—when is an independent investigation advisable and what are the best practices for conducting those inquiries. The panel also discusses strategies in selecting outside counsel, scoping the appropriate inquiry, pitfalls in document preservation and production, the "horrors" of email and ESI, self-reporting to the government, and considerations in advising the board.
 
Session 3: Government Investigations, Part III: Moving Forward– What happens when the internal investigation uncovers evidence of possible wrongdoing? How might you handle bad facts, difficult investigation witnesses, and the dreaded "smoking gun" document? This panel explores the considerations and best practices in proceeding, including the possibility of continued voluntary cooperation, what to do when the government’s case is ill-founded, understanding the government’s focus, isolating critical documents and key witnesses, dealing with an Achilles heel, and considerations for early settlement.
 
Session 4: Government Investigations, Part IV: The Litigation Process – Fight or flee? This panel focuses on the key issues and ethical considerations presented as the government’s investigation moves into its most active phase. It explores issues in representing the company, representing individuals, and possible conflicts of interest in multiple representation, strategies in preparing for testimony, 5th Amendment considerations, dealing with parallel proceedings, and taking proactive measures.
 
Session 5: Government Investigations, Part V: The End Game– This panel addresses the issues surrounding the resolution of a government investigation, plus looks at future risk assessment and proactive measures that can help prevent or at least prepare for possible investigations. It looks at strategic settlement considerations, the cost of defense vs. the cost of settlement, discussing settlement with the government, strategies in crafting an agreement, collateral consequences of settlement, seeking a high-level review of a charging decision, SOX clawbacks, and PR, IR and SEC disclosures.
 

Includes: Audio Paper Slides


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1. Government Investigations, Part I: Investigative Triggers (Jun 2014)

Paul E. Pelletier, Scott W. Friestad, Kevin J. Harnisch, Bruce Wark

1.00 0.25 0.00
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(mp3)
63 mins
Paper
(pdf)
3 pgs
Slides
(pdf)
5 pgs
Session 1 —63 mins
Government Investigations, Part I: Investigative Triggers (Jun 2014)

An examination of the early and perhaps most critical stages of the investigative process, including considerations, strategies and ethical issues related to responding to a whistleblower, the government’s request for voluntary assistance, the investigatory subpoena, document preservation, early settlement and cooperation agreements, advising the board, and public reporting and public relations.

Originally presented: May 2014 Government Enforcement Institute

Paul E. Pelletier, Member, Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. - Washington, DC
Scott W. Friestad, Associate Director, Division of Enforcement, U.S. Securities and Exchange Commission - Washington, DC
Kevin J. Harnisch, Partner, Steptoe & Johnson LLP - Washington, DC
Bruce Wark, Associate General Counsel, American Airlines Inc. - Fort Worth, TX

Show session details

2. Government Investigations, Part II: Best Practices for Internal Investigations (Jun 2014)

Kit Addleman, Brad Bennett, Holly L. Clarke, Barrett R. Howell, Mark Shaw

1.00 0.50 0.00
Preview Materials

Download session materials for offline use

(mp3)
59 mins
(pdf)
15 pgs
Session 2 —59 mins
Government Investigations, Part II: Best Practices for Internal Investigations (Jun 2014)

A look at the factors and circumstances that inform the decision to conduct an internal investigation—when is an independent investigation advisable and what are the best practices for conducting those inquiries. The panel also discusses strategies in selecting outside counsel, scoping the appropriate inquiry, pitfalls in document preservation and production, the "horrors" of email and ESI, self-reporting to the government, and considerations in advising the board.

Originally presented: May 2014 Government Enforcement Institute

Kit Addleman, Partner, Haynes and Boone, LLP - Dallas, TX
Brad Bennett, Executive Vice President, Chief of Enforcement, FINRA - Rockville, MD
Holly L. Clarke, Senior Vice President and General Counsel, L-3 Communications Integrated Systems, L.P. - Rockwall, TX
Barrett R. Howell, Partner, K&L Gates LLP - Dallas, TX
Mark Shaw, Vice President, General Counsel and Corporate Secretary, Southwest Airlines Co. - Dallas, TX

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3. Government Investigations, Part III: Moving Forward (Jun 2014)

Danny S. Ashby, Chad N. Boudreaux, Jim Letten, Weston C. Loegering

1.00 0.25 0.00
Preview Materials

Download session materials for offline use

(mp3)
55 mins
(pdf)
15 pgs
Session 3 —55 mins
Government Investigations, Part III: Moving Forward (Jun 2014)

What happens when the internal investigation uncovers evidence of possible wrongdoing? How might you handle bad facts, difficult investigation witnesses, and the dreaded "smoking gun" document? This panel explores the considerations and best practices in proceeding, including the possibility of continued voluntary cooperation, what to do when the government’s case is ill-founded, understanding the government’s focus, isolating critical documents and key witnesses, dealing with an Achilles heel, and considerations for early settlement.

Originally presented: May 2014 Government Enforcement Institute

Danny S. Ashby, Partner, K&L Gates LLP - Dallas, TX
Chad N. Boudreaux, Corporate VP for Litigation & Chief Compliance Officer, Huntington Ingalls Industries, Inc. - Newport News, VA
Jim Letten, Former U.S. Attorney, EDLA and Assistant Dean, Tulane University Law School - New Orleans, LA
Weston C. Loegering, Partner, Jones Day - Dallas, TX

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4. Government Investigations, Part IV: The Litigation Process (Jun 2014)

Merri Jo Gillette, Paul E. Pelletier, David B. Reece, Clay B. Scheitzach

1.00 0.50 0.00
Preview Materials

Download session materials for offline use

(mp3)
57 mins
Slides
(pdf)
6 pgs
Session 4 —57 mins
Government Investigations, Part IV: The Litigation Process (Jun 2014)

Fight or flee? This panel focuses on the key issues and ethical considerations presented as the government’s investigation moves into its most active phase. It explores issues in representing the company, representing individuals, and possible conflicts of interest in multiple representation, strategies in preparing for testimony, 5th Amendment considerations, dealing with parallel proceedings, and taking proactive measures.

Originally presented: May 2014 Government Enforcement Institute

Merri Jo Gillette, Partner, Morgan, Lewis & Bockius LLP - Chicago, IL
Paul E. Pelletier, Member, Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. - Washington, DC
David B. Reece, Regional Trial Counsel, U.S. Securities and Exchange Commission - Fort Worth, TX
Clay B. Scheitzach, Senior Vice President & Group Counsel, Xerox Business Services, LLC - Dallas, TX

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5. Government Investigations, Part V: The End Game (Jun 2014)

Paul E. Coggins, Laura A. Brevetti, Alan M. Buie, Toby M. Galloway

1.00 0.25 0.00
Preview Materials

Download session materials for offline use

(mp3)
59 mins
(pdf)
59 pgs
Slides
(pdf)
6 pgs
Session 5 —59 mins
Government Investigations, Part V: The End Game (Jun 2014)

This panel addresses the issues surrounding the resolution of a government investigation, plus looks at future risk assessment and proactive measures that can help prevent or at least prepare for possible investigations. It looks at strategic settlement considerations, the cost of defense vs. the cost of settlement, discussing settlement with the government, strategies in crafting an agreement, collateral consequences of settlement, seeking a high-level review of a charging decision, SOX clawbacks, and PR, IR and SEC disclosures.

Originally presented: May 2014 Government Enforcement Institute

Paul E. Coggins, Partner, Locke Lord LLP - Dallas, TX
Laura A. Brevetti, General Counsel and Secretary, WWE, Inc. - Stamford, CT
Alan M. Buie, Assistant U.S. Attorney, U.S. Attorney's Office, Western District of Texas - Austin, TX
Toby M. Galloway, Partner, Kelly Hart & Hallman LLP - Fort Worth, TX