Internal Investigations

In today's regulatory climate, companies are being judged by how promptly and thoroughly they respond to allegations of violations. Any perceived failure to respond appropriately can have severe consequences. Internal investigations often provide the best chance for a company to identify and address violations, thereby mitigating the risk of an enforcement action or litigation. Without the right plan, however, internal investigations can be costly, inefficient, and ineffective.

Our experience in dealing with all aspects of internal investigations includes advising entities as to whether an internal investigation is the best course of action, representing entities conducting internal investigations, conducting internal investigations as independent counsel, and defending individuals and other parties in connection with internal investigations.

Our attorneys have charted courses through even the most complex internal investigations, and we bring a special combination of experience and cost-efficiency to these matters. Among other things, we have experience:

  • drafting proper board resolutions, addressing potential independence issues and conflicts of interest, and handling advancement and indemnification issues;
  • advising companies regarding closing trading windows or implementing trading blackouts;
  • defining the scope of the investigation and creating a plan of action;
  • retaining appropriate forensic accounting and other advisors as necessary;
  • creating and implementing effective and efficient document preservation, collection, and review protocols;
  • conducting or defending internal investigation interviews;
  • performing due diligence on information obtained, and developing appropriate work product;
  • advising clients regarding the attorney-client privilege and/or attorney work product protection and considerations related to their potential waiver;
  • making findings and recommendations and reporting them to committee members, the board of directors, senior management, and regulators;
  • identifying appropriate remedial and disciplinary actions; and
  • drafting appropriate public disclosures.
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