Corporate Internal Investigations in an Evolving Regulatory Environment

Navigating Complex Legal and Ethical Issues Before, During and After an Investigation

An extensive 2-hour briefing

Recording of a 120-minute CLE webinar with Q&A

Conducted on Thursday, January 13, 2011

Recorded event now available

or call 1-800-926-7926
Course Materials

This CLE course will provide guidance to corporate counsel on identifying and addressing the legal and ethical issues that commonly arise before, during and after a corporate internal investigation.


Recent and ongoing regulatory reform has forced companies to be more vigilant about identifying and remedying areas of potential corporate liability. Internal investigations are an effective mechanism for detecting and correcting questionable policies and practices.

When preparing for and conducting internal investigations, businesses and their counsel must consider a number of legal and ethical issues. Failure to address privilege issues, confidentiality concerns and potential conflicts of interest can significantly increase a corporation’s liability exposure.

Listen as our authoritative panel of corporate attorneys provides strategies for conducting corporate internal investigations in light of increased federal regulation and government oversight. The panel will discuss common legal and ethical issues that arise before, during and after an investigation and will provide best practices for corporate counsel to address the issues.



  1. Preparing for investigations
    1. Investigation triggers
    2. Determining scope of investigation
    3. Identifying the investigators
    4. Deciding whether to hire outside counsel
    5. Establishing investigation protocols
    6. Deciding who will be interviewed
  2. Conducting investigations
    1. Conducting interviews
    2. Upjohn warnings
    3. Identifying and preserving documents/evidence
    4. Preserving privileges
  3. Post-investigation best practices
    1. Determining when and how to report investigation results
    2. Drafting close-out letters
    3. Preserving confidentiality of investigation documents
    4. Communicating voluntary disclosures to government
    5. Revising policies and implementing corrective actions


The panel will review these and other key questions:

  • What types of allegations or concerns typically trigger an internal investigation?
  • What privileges are implicated in investigations — and how can companies avoid compromising any legal protections?
  • What precautions should be made when documenting an investigation?
  • What considerations should corporate counsel take into account when deciding whether and when to communicate voluntary disclosures to the government?


Joel Cohen
Joel Cohen

Partner, Moderator
Stroock & Stroock & Lavan

He has represented and actively counseled individuals and corporations that have been investigated and/or prosecuted...  |  Read More

Laura A. Brevetti
Laura A. Brevetti

K&L Gates

She has 30 years of experience in government and private practice. She has extensive experience representing...  |  Read More

Steven F. Molo
Steven F. Molo

Molo Lamken

He represents corporations, boards of directors, funds, special committees, and individuals in complex business...  |  Read More

Joshua Klein
Joshua Klein

Petrillo Klein

He represents individuals and entities in complex commercial litigation, government enforcement proceedings and...  |  Read More

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Strafford will process CLE credit for one person on each recording. All formats include course handouts.

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