Internal Investigations 2015

Transcription

1 Satisfy Your CLE, CPE and CPD Requirements! Internal Investigations 2015 Use a real-world scenario to conduct an investigation from beginning to end Updated accounting fraud hypothetical Graphic novel simulation Audience response polling questions: benchmark with your peers Find out when, where, why and how to conduct the most effective internal investigations Receive practical tips and strategies you can use Get the government s perspective during a roundtable discussion with the SEC and DOJ, June 9, 2015, June 25, 2015 Atlanta, Cleveland, Philadelphia, Pittsburgh, Mechanicsburg and New Brunswick Groupcast Locations, June 25, 2015 Live Webcast, June 25, 2015 This is an approved New York transitional program Register Today at or Call (800) 260-4PLI

2 Internal Investigations 2015 Why You Should Attend Knowing how to conduct efficient and effective internal investigations is key to protecting your clients or company. Companies and their counsel need to be diligent and proactive in identifying risks and remedying potential issues. At this program, an expert faculty will review the fundamentals of conducting an effective and efficient investigation, as well as touch on the many more nuanced and practical issues arising today. Leave the program with a better understanding of how to handle investigations successfully for your clients or company. What You Will Learn Considerations at the outset: nature and scope of the investigation Document retention and data privacy issues Plaintiffs lawyers considerations: internal self-reporting to the company vs. filing with the government Issues in international investigations The intersection of labor and employment law and internal investigations When and how to work with outside experts When you should disclose and when you should not The government s use, evaluation and weighing of internal investigations Concluding the investigation: when to prepare a report and how, corrective actions, cooperation with the government Ethical issues: warnings to witnesses, representational issues, the rights of employees, avoiding obstruction, indemnification and advancement Special Features Real-world hypothetical scenario to structure program: updated accounting fraud fact pattern! One full hour of Ethics CLE credit Who Should Attend This program is a must-attend event for anyone responsible for corporate investigations: inside and outside counsel, internal auditors, compliance officers, forensic accountants and other experts who handle internal investigations, and government attorneys anyone who has a stake in this process. Register for our live Webcast attend from your location! The session of this program is available as a live Webcast, streamed simultaneously on your PC or tablet. Reserve your front-row seat to watch PLI s acclaimed faculty as they discuss the hottest legal trends, developments, case law and regulations.... View all supporting material.... And earn CLE credit. It s all part of PLI s commitment to deliver an outstanding learning experience! Register today at to reserve your place. Then log in at to print the Course Handbook and submit questions electronically to the faculty. PLI s Customer Service Department is also available to assist with any questions. Please contact us at (800) 260-4PLI. Register Today at or Call (800) 260-4PLI

3 Program Schedule Please plan to arrive with enough time to register before the conference begins. A networking breakfast will be available upon your arrival. Morning Session: 9:00 a.m. 12:30 p.m. 9:00 Opening Remarks and Introduction Internal investigations and the current environment Review of a hypothetical fact pattern CHI: David B. Bayless, Steven S. Scholes Nancy Kestenbaum, Richard J. Morvillo 9:15 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? CHI: John C. Kocoras (Moderator); A. Brad Busscher, James L. Kopecky, Steven M. Malina Steven R. Peikin (Moderator); Thomas A. Hanusik, Joshua E. Levine, Susan L. Merrill, Gregory Morvillo, Lee S. Richards III 10:45 Networking Break 11:00 Conducting the Investigation A. 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 B. Privilege Issues and Ethical Traps in Conducting the Investigation (1 hour ethics credit) 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 CHI: Mark D. Pollack (Moderator); Jonathan R. Barr, Ted Hawkins, Laura G. Hoey, Thomas W. Szromba Richard J. Morvillo (Moderator); Wayne M. Carlin, MaryJeanette Dee, Michael Delikat, Samuel J. Winer 12:30 Lunch Afternoon Session: 1:45 p.m. 4:45 p.m. 1:45 Concluding the Investigation Reaching findings Memorializing conclusions When to prepare a written report Alternatives to a written report Contents of the report: detail, facts vs. legal conclusions Who sees the report: handling third-party requests Corrective actions/remediation Whether and how to self-report CHI: David B. Bayless (Moderator); Tammy Albarran, Michael J. Diver, Anthony F. Fata, Jennifer W. Murphy Martine M. Beamon (Moderator); Katherine M. Choo, James E. Johnson, Peter J. Romatowski 3:00 Networking Break 3:15 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 CHI: Steven S. Scholes (Moderator); Julie Porter, Kathryn A. Pyszka, Kevin M. Robinson, Junaid A. Zubairi Nancy Kestenbaum (Moderator); Stephanie Avakian, Mylan Lee Denerstein, Katherine R. Goldstein 4:45 Adjourn

4 PLI s Nationally Acclaimed Course Handbooks Now Available Online Our Course Handbooks represent the definitive thinking of the nation s finest legal minds, and are considered the standard reference in the field. The Handbook is prepared specifically for this program and stands alone as a permanent reference. The Course Handbook will be available online several days prior to the program! Log in to go to My Online Library and click on the Course Materials tab. You can review the material or prepare questions to raise at the program. You will have access to the Course Handbook for one year from the program date. All attendees at the live program and Groupcast locations will also receive a bound or flash drive copy. Pro Bono Efforts & Scholarships As a nonprofit organization, PLI is deeply committed to the public service work of the legal profession. We invest heavily in pro bono activities, including: full and partial scholarships to our institutes and programs assisting public interest organizations with their legal training needs free lectures for law students on our website, and free programs in practice areas critical to the representation of low-income clients. In 2014, PLI awarded over 50,000 scholarships in all programs to judicial law clerks, law professors, law students, attorneys 65 or older, law librarians, judges, attorneys who work for nonprofit organizations, and attorneys in transition. PLI also partners with Privileged Member firms and organizations to offer free CLE training to their pro bono clients. The selected nonprofit organizations, legal aid organizations and other pro bono groups have unlimited access to PLI live seminars and On-Demand Learning content. For more information on our pro bono initiatives, or to apply for a scholarship, please visit PLI s Unconditional Guarantee It s simple: if you are not completely satisfied with the return on your investment from any PLI program, we will refund your money in full. Registration/Hotel Information available at F O U R E A S Y W A Y S T O R E G I S T E R WEB: PHONE: (800) 260-4PLI Monday - Friday, 9 a.m. - 6 p.m., Eastern Time FAX: (800) Open 24 Hours! MAIL: Practising Law Institute 1177 Avenue of the Americas, New York, NY Fax or mail completed Registration/Order Form on back cover Location/Hotel Information: Visit us on the Web at or call us at (800) 260-4PLI for information about seminar locations and hotel accommodations for this program. Payment Policy: Registration fees are due in advance. Attendees may pay by check, Visa, MasterCard, American Express or Diners Club. Cancellations: All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program. CLE/CPD Credit: PLI programs offer CLE credit in all U.S. jurisdictions that have mandatory CLE requirements and some foreign jurisdictions with CPD requirements. Please check for credit details, eligibility and approval status for your particular jurisdiction(s). New York: In accordance with the requirements of the Continuing Legal Education Board, this transitional continuing legal education course has been approved for a maximum of 7 credit hours, of which 6 credit hours can be applied toward the Professional Practice requirement and 1 credit hour can be applied toward the Ethics requirement. California: This activity is approved for MCLE credit in the amount of 6 hours, of which 1 hour will apply to legal ethics. Recommended CPE Credit: 7 credit hours (6 Specialized Knowledge & Applications and 1 Regulatory Ethics). Program Level: Overview. Practising Law Institute is registered with the National Association of State Boards of Accountancy (NASBA), as a sponsor of continuing professional education on the National Registry of CPE Sponsors. For PLI s official National Registry Statement, please visit Special Needs: If you have special needs as addressed by the Americans with Disabilities Act, please notify Customer Service at least two weeks prior to your program. info@pli.edu Visit Us On The Web:

5 Co-Chairs: David B. Bayless Covington & Burling LLP San Francisco FA C U LT Y Steven S. Scholes McDermott Will & Emery LLP Tammy Albarran Covington & Burling LLP San Francisco Jonathan R. Barr BakerHostetler A. Brad Busscher General Counsel Incapital LLC Michael J. Diver Katten Muchin Rosenman LLP Anthony F. Fata Cafferty Clobes Meriwether & Sprengel LLP Ted Hawkins Partner, Forensic Services PwC Laura G. Hoey Ropes & Gray LLP John C. Kocoras McDermott Will & Emery LLP James L. Kopecky Kopecky, Schumacher, Bleakley, Rosenburg, P.C. Steven M. Malina Greenberg Traurig, LLP Jennifer W. Murphy Director, NMIS H.O. Supervision & Administration Northwestern Mutual Milwaukee Mark D. Pollack Paul Hastings LLP Julie Porter Assistant United States Attorney, Northern District of Illinois United States Attorney s Office Kathryn A. Pyszka Assistant Regional Director, Regional Office and Market Abuse Unit U.S. Securities and Exchange Commission Kevin M. Robinson Senior Managing Director, General Counsel Guggenheim Partners, LLC Thomas W. Szromba Principal Senior Counsel The Boeing Company Junaid A. Zubairi Vedder Price P.C., Groupcast Locations and Live Webcast Co-Chairs: Nancy Kestenbaum Covington & Burling LLP Richard J. Morvillo Morvillo LLP Stephanie Avakian Deputy Director, Division of Enforcement U.S. Securities and Exchange Commission Martine M. Beamon Davis Polk & Wardwell LLP Wayne M. Carlin Wachtell, Lipton, Rosen & Katz Katherine M. Choo Chief Investigative & Anti-Corruption Counsel General Electric Company Fairfield, Connecticut MaryJeanette Dee Sheppard Mullin Richter & Hampton LLP Michael Delikat Orrick, Herrington & Sutcliffe LLP Mylan Lee Denerstein Gibson Dunn & Crutcher LLP Katherine R. Goldstein Deputy Chief, Securities and Commodities Fraud Task Force United States Attorney s Office, Southern District of New York Thomas A. Hanusik Crowell & Moring James E. Johnson Debevoise & Plimpton LLP Joshua E. Levine General Counsel - ICG Regulatory Enforcement Citigroup Susan L. Merrill Sidley Austin LLP Gregory Morvillo Morvillo LLP Steven R. Peikin Sullivan & Cromwell LLP Lee S. Richards III Richards Kibbe & Orbe LLP Peter J. Romatowski Jones Day Samuel J. Winer Foley & Lardner Program Attorney: Tamara C. Kiwi

6 Practising Law Institute 1177 Avenue of the Americas New York, NY NON-PROFIT ORGANIZATION U.S. POSTAGE PAID PRACTISING LAW INSTITUTE Practising Law Institute R E G I S T R AT I O N / O R D E R F O R M When Registering, Please Refer to Priority Code: YHD5 Make necessary corrections on mailing address. Internal Investigations 2015 Please register me for the following session: Seminar,* June 9, 2015, University of Gleacher Center, $1, Seminar,* June 25, 2015, PLI New York Center, $1, Atlanta Groupcast Location,* June 25, 2015, Atlanta Bar Association, $1, Cleveland Groupcast Location,* June 25, 2015, Cleveland Metropolitan Bar Association, $1, Philadelphia Groupcast Location,* June 25, 2015, Pennsylvania Bar Institute, $1, Pittsburgh Groupcast Location,* June 25, 2015, PBI Professional Development Conference Center, $1, Mechanicsburg Groupcast Location,* June 25, 2015, Pennsylvania Bar Institute, $1, New Brunswick Groupcast Location,* June 25, 2015, New Jersey Institute for CLE, $1,695 2 Live Webcast,* June 25, 2015, #58801, $1, Privileged Member Fee: $ Course Handbook only, $220 Register Today! Call (800) 260-4PLI My address is: Please send me updates on PLI programs and services. *Includes Course Handbook, in either bound volume or flash drive format for program attendees, and in digital format for Webcast participants. All attendees will have access to a downloadable version of the Handbook several days prior to the program. FREE Shipping and Handling in the United States, U.S. Possessions and Canada on all prepaid Publication purchases. CA, FL, IL, MA, MD, NJ, NY, OH, PA, RI, TX, VA and DC residents please add applicable sales tax to the price of Publications. Please send me: Publications Catalog Institutes and Programs Catalog Information on PLI Membership The information below is required to properly process your CLE certificate: State: Bar ID# State: Bar ID# State: Bar ID# PRIORITY CODE: YHD5 8A500 Name Title Firm Address ( U s e S t r e e t A d d r e s s f o r U P S D e l i v e r y ) City/State/Zip Phone Fax