Internal Investigations:Balancing Competing Concerns & Objectives
Conducting an internal investigation in the current regulatory and economic environment raises a host of competing and often contradictory concerns and objectives. The webcast will discuss the latest developments regarding DOJ, SEC and FINRA cooperation guidelines, the recent emphasis on sharing "factual" (versus "privileged") information with the government and regulators, and issues relating to employee representation (fee advancement, Upjohn warnings and multiple representations). Ms. Dee will offer strategies for meeting government and regulatory expectations while minimizing costs and litigation risk.
- Presenting
- MaryJeanette Dee, Partner, Richards Kibbe & Orbe LLP
- Channel
- Financial Services
- Date
- Jul 09 2009
- Duration
- 2822
- Tags
- internal, investigations, regulations, DOJ, SEC, FINRA
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