Antitrust Internal Audits on Pricing, Distribution Practices, Competitor Collaborations and More

Managing the Audit Process, Mitigating Regulatory Sanctions, and Preserving Attorney-Client Privilege

Recording of a 90-minute CLE webinar with Q&A

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Conducted on Tuesday, December 13, 2011

Recorded event now available

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Course Materials

This CLE course will prepare antitrust counsel to advise clients on developing and conducting internal audits. The panel will address how to conduct specific audits to evaluate pricing issues, collaborations with competitors, distribution practices, document creation practices, and trade association activities.


Internal audits are essential to monitor compliance with antitrust laws. Conducting regular audits as part of an antitrust compliance program will help business clients uncover potential risks, identify corrective solutions, and minimize liability in the event of a regulatory investigation.

Counsel must develop effective audit processes to help their clients avoid costly government fines, civil damages, and sometimes even criminal penalties. However, counsel must also be aware of potential attorney-client privilege pitfalls and take measures to preserve it during the audit process.

Counsel must plan and make decisions about the timing for an antitrust audit, the appropriate type of audit to conduct for specific potential violations, the scope of the audit, documentation of the audit, preservation of the audit documentation, and follow up on any potential violations uncovered.

Listen as our authoritative panel of antitrust attorneys discusses the importance of conducting regular internal antitrust audits, outlines step-by-step guidance for conducting key audits, and reviews special considerations for attorney-client privilege during the audit process.



  1. Internal Audits Overview
    1. The case for audits
    2. Who should conduct the audit?
    3. Reviewing industry structure and client’s antitrust history
    4. Determining the scope and objectives
    5. Announcing the audit
    6. Document review
    7. Interviews
    8. Analysis & Recommendations
    9. Written report?
  2. Specific Audit Applications
    1. Compliance Programs
    2. Horizontal price fixing
    3. Merger Issues
    4. Monopolization & attempted monopolization
    5. Price Discrimination
    6. Resale Price Maintenance
    7. Trade association membership
    8. Government Contracting
    9. Commercial Bribery
    10. IP issues
  3. Post-audit issues
    1. Attorney-client issues
    2. Attorney work product issues
    3. Data Privacy and Protection
    4. Self-Evaluation
      1. Sarbanes-Oxley
      2. Auditors Letters


The panel will review these and other key questions:

  • When is an antitrust audit necessary?
  • What special approaches should be utilized to detect specific potential violations?
  • How should the scope of the audit be determined?
  • How is the attorney-client privilege best preserved in an internal antitrust audit?
  • What are the best practices for documenting the antitrust audit?

Following the speaker presentations, you'll have an opportunity to get answers to your specific questions during the interactive Q&A.


Richard J. Wegener
Richard J. Wegener

Fredrikson & Byron

Mr. Wegener's a resident shareholder in the Minneapolis office, and he practices antitrust and trade regulation...  |  Read More

Tween, Douglas M.
Douglas M. Tween

Baker & McKenzie

Mr. Tween focuses his practice on antitrust, Foreign Corrupt Practices Act, tax, securities, fraud, money...  |  Read More

John F. Collins
John F. Collins

Dewey & LeBoeuf

He has over 35 years of extensive experience in representing and counseling clients in complex commercial litigation,...  |  Read More

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