Post-Enron, federal and state government agencies and regulators are examining corporate conduct with greater scrutiny. The stakes couldnt be higher for companies and their officers, management and advisors to understand their obligations under the new, higher standards of accountability and to understand their obligations once they are alerted to potentially fraudulent activity. How a company responds to alleged wrongdoing, including how it conducts an investigation, will often determine how favorably government officials will treat the company.
In this advanced workshop, our distinguished faculty, all former government prosecutors and regulators, will give you practical advice on counseling your client through an internal investigation. Hear from seasoned attorneys who have been on both sides of a high-profile investigation and who will speak candidly about what you should and shouldnt do throughout the entire process. Walk away with effective strategies for conducting internal investigations and minimizing the wrath of the government.
Program Agenda:
I. Introduction
II. Recent Trends in Government Enforcement
A. Foreign Corrupt Practices Act
B. Insider trading
C. Health and Pharmaceuticals
D. Employer Immigration Enforcement
E. Customs
F. Sub-prime financial markets
III. The Architecture of an Investigation: Practical Tools and Strategies for
Responding to the Government and Conducting an Effective Internal Investigation
A. Assembling and managing a team
B. Defining the scope
C. Identifying the client
D. Plan for document hold
E. Structuring an investigation to achieve maximum credibility with government investigators
F. Communicating with the government
G. Avoiding missteps when going forward with the investigation
H. Methods of reporting
I. Balancing cost controls with a thorough investigation
J. The intricacies of attorney-client privilege in government investigations
K. Potential disclosure obligations to shareholders
L. Preparing for worst-case scenarios
M. Pros and cons of voluntary self-disclosures
N. Strategies for expediting the investigation
O. Role of General Counsel
P. Upgrading compliance
IV. To Cooperate or Not: Avoiding Prosecution
A. Deferred prosecution agreements (DPA)
B. Non-prosecution agreements (NPA)
C. Consequences of the wedge being driven between the company and its employees
D. Living with a compliance monitor
E. Paying criminal penalties under DPAs and NPAs
Faculty:
Michael Koenig, a former federal prosecutor with the United States Department of Justice who investigated and prosecuted corporate fraud cases and other complex white collar crimes. Now Partner at Greenberg Traurig, Mr. Koenig represents, defends, and advises corporate and individual clients in all aspects of complex civil litigation, white collar criminal matters, government investigations, internal investigations, and contested regulatory proceedings.
Wiliam Leone, now partner at Faegre & Benson, and the former United States Attorney for Colorado. He served in the United States Attorneys Office for Colorado from October 2001 until October 2006. He served on Attorney General Alberto Gonzales Advisory Committee on White Collar Crime and on the National Securities Fraud Working Group together with representatives from the Securities and Exchange Commission, the FBI, the Commodities Futures Trading Commission, the IRS, the NASD and others. He was a member of the Colorado Securities Fraud Task Force and has been a frequent lecturer at the National Advocacy Center in Columbia, S.C., teaching courses to federal prosecutors from across the United States in securities, accounting and corporate fraud.
If you intend to take a course for CLE credit, please make sure your state is listed in the "Accreditation" section to the upper right of the program description. Accreditation displayed is unique to the purchased program format (live conference, live webcast, on demand, podcast). Credit totals listed for live conferences are the maximum credits available. Credits issued will be based upon actual time in attendance. Credit totals for other formats are for complete programs. Partial credit is not available for any online or downloadable format.
West LegalEdcenter will not provide accreditation for states not listed.
This product is intended for individual use by the named purchaser. Group viewings for online programs may be arranged for five or more attorneys within the same organization prior to viewing by emailing west.wlec-sales@thomson.com.
