Internal & Cross-Border Investigations: Best Practice & Potential Pitfalls

Introduction

Large-scale investigations are becoming increasingly commonplace for businesses across industries and jurisdictions. Firms are in many instances required to shoulder the burden of the investigation, and regulators are placing greater scrutiny in multiple areas ranging from financial crime, to sanctions, to firm culture. There are also progressively more cross-border matters, either as a result of a firm’s expansion into new territories, or where regulators are co-operating across jurisdictions. While this international element is logical in light of the ever-increasing global footprint of commerce, it brings additional challenges in respect of navigating strategy, privilege and data privacy.

It is therefore vital for those responsible for overseeing internal investigations - whether that be in-house counsel, compliance officers, or senior HR professionals - to be familiar with the necessary steps to help ensure that the investigation is conducted as effectively as possible.

This webinar will help you understand the importance of properly scoping an investigation, as well as the key issues to be looking out for as an investigation progresses. The significance of getting this right, and the potential financial, reputational or regulatory risk where things go wrong, will also be highlighted.

What You Will Learn

This webinar will cover the following:

• The early days:
  • Scoping
  • Document preservation notices
  • Privilege
  • Stakeholders - internal, external, regulators
  • Cross-border considerations: data privacy, local counsel
• The core investigation:
  • Document review
  • Interviews
  • Preliminary findings
• Wrapping up and the aftermath:
  • Report and recommendations
  • Public relations/external exposure
  • Penalties, remediation