Internal Investigations:Balancing Competing Concerns & Objectives

Presented by

MaryJeanette Dee, Partner, Richards Kibbe & Orbe LLP

About this talk

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.

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