Room 3-01

Speakers

• Rasmeet K. Chahil, Counsel, Lowenstein Sandler LLP

• Elizabeth L. Mo, Counsel, The Law Firm of Hugh H. Mo, P.C.

• William H. Ng, Partner, Littler Mendelson P.C.

• Stewart Hsiao Loo, Investigator, Private Investigator and retired NYPD Deputy Inspector and Commanding Officer of Detectives.

Moderator

• Hin Ton “Tracy” Wong, Associate, The Law Firm of Hugh H. Mo, P.C.

Program Chair

• Elizabeth L. Mo, Counsel, The Law Firm of Hugh H. Mo, P.C.

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Description

Companies of all sizes can face issues or complaints leading to internal investigations. These range from noncompliance with regulatory requirements to Foreign Corrupt Practices Act (FCPA) compliance, harassment or discrimination concerns, data breaches, and whistleblower complaints. While there is no “one size fits all” approach, this panel will address investigation best practices from a variety of perspectives – in-house, government, and outside counsel – to provide the necessary tools when such issues arise. From receipt of a complaint to submission of a final report, there are critical decisions to be made at each juncture in the investigation. Starting with who should conduct the investigation and determining its scope, the panel will then provide strategies for effective fact-finding through witness interviews, including providing the necessary Upjohn warnings, and how to deal with difficult or uncooperative witnesses. Another key consideration throughout the investigation is preserving privilege, including when working with experts. Finally, the panel will discuss how to provide investigative findings and how to decide whether to make a written report public or make voluntary self-disclosures to the government. Overall, this investigations playbook will facilitate in-house counsel’s decision-making and communications with outside counsel, and help companies navigate parallel internal and government investigations.

LEARNING OBJECTIVES:

• How to determine who should conduct the investigation (HR, compliance, in-house counsel, outside counsel)

• How to determine the nature and scope of the investigation

• Best practices to address document retention, collection of cell phones, and data privacy issues, as well as document collection and review

• Tips to effectively manage labor and employment law issues

• Strategies for conducting witness interviews, including providing Upjohn warnings and the tenor of the conversation

• How to protect the attorney-client and work product privileges, including when working with experts such as forensics

• How to best provide investigative findings

• Gain insight into how the government uses, evaluates and weighs internal investigations and how to tailor your investigation accordingly

• Deciding how and when to engage with media and other outreach, including deciding whether and to what extent to make findings public

INTERACTIVITY: We plan to include a hypothetical internal investigation situation that we will develop throughout the program. We plan to have some role-playing exercises where we invite members of the audience to conduct a mock questioning of a panel member who will play a potential witness. Each exercise will contain a key take-away lesson for attendees. We also plan to incorporate audience polls and ask the audience about how to handle a particular step in the investigation. Overall, through these exercises, we will develop a “checklist” that attendees can use to guide investigations when issues arise for their client or company.

BUILDING A STRONG FOUNDATION FOR A BRIGHTER FUTURE: A panel event on internal investigations highlights the essential practices and principles that form the bedrock of fair process, ensuring protection against unfair treatment, bias, and procedural errors. It is critical to provide expertise, support, and strategic guidance to navigate the investigation process effectively. Developing the insight to mitigate potential negative consequences allows everyone to emerge from an investigation stronger and more resilient. For organizations, strengthening institutional integrity also promotes public confidence and trust. The ability to take a proactive approach to compliance and risk management allows for adaptability to ever changing regulations and challenges—ensuring long-term sustainability and success.

Click here for the CLE materials for this program (in Google Drive).

Approved for 1.5 CLE Credits, Skills