Course Level:

Intermediate

Advance Preparation:

Print and review course materials

Method of Presentation:

On-Demand Webcast; Group-Internet Based

NASBA Field of Study:

Business Law – Technical

Prerequisite:

General knowledge of internal investigations

Course Code:

1411037

Total Credits:

CPE Credit:

1.5 CPE (Not eligible for QAS (On-demand) CPE credit)

CLE Credit:

GA CLE 1.50 General - Approved Until: 12/31/2024

CA CLE 1.50 General - Approved Until: 6/20/2026

PA CLE 1.50 General - Approved Until: 6/20/2026

TN CLE 1.50 General - Approved Until: 6/20/2025

WI CLE 1.50 General - Approved Until: 12/31/2025

VT CLE 1.50 General - Approved Until: 12/31/2025

NJ CLE 1.50 General - Credits through Reciprocity

NY CLE 1.50 Areas of Professional Practice - Credits through Reciprocity

AR CLE 1.50 General - Credits through Reciprocity

CT CLE 1.50 General - Credits through Reciprocity

NH CLE 1.50 General – Meets the requirements of NH Supreme Court Rule 53

MS CLE 1.50 General - Approved Until: 06/20/2025

Pending CLE Application:

NONE

Self-Apply:

AL, CO, DE, FL, ID, IN, IO, KS, KY, LA, NC, ME, MN, MT, NE, NV, NM, ND, OH, OK, OR, SC, TX, UT, VA, WA, WV, WY

If you’d like us to apply for CLE, you may opt to pay the CLE processing fee here.

No MCLE Requirements:

DC, MD, MA, MI, SD

Not Eligible for CLE:

AK, AZ, HA, MO, IL

Matthew B. Greenblatt, Senior Managing Director
FTI Consulting, Inc.

David C. Ware, Partner
Gibson, Dunn & Crutcher LLP

Matthew B. Greenblatt, Senior Managing Director FTI Consulting, Inc.

and

David C. Ware, Partner 

Gibson, Dunn & Crutcher LLP

1. Internal investigations as an aspect of proper corporate governance:
   1. Panel to discuss how and why Internal Investigations sit within a matrix of board and management oversight, internal audit, regulatory responses, whistleblower hotlines, and other processes
   2. Investigations play a key role in all of the company’s corporate governance processes operating correctly
   3. Panel to discuss requirements around ICFR and disclosure controls and procedures that are critical to develop the robust internal investigation capability for both prevention and detection of violations
2. Elements of an effective internal investigation framework and the critical legal and regulatory considerations in the internal investigation framework:
   1. How to structure and initiate the internal investigation
   2. Define the nature and scope of the internal investigation
   3. Preserve and protect the electronic documents and other evidence
   4. Prepare for and conduct witness interviews
   5. How to maintain the attorney-client privilege and deal with confidentiality issues
   6. Internal investigations in the context of an external regulatory investigation, etc.
   7. Understand the need to retain other outside professionals (e.g., forensic accountants)
   8. Conducting a Section 10A investigation where auditors are the main audience
   9. Prepare reports/presentations to the Audit Committee, Special Committee, Auditors, Regulators, etc.
3. Best practices:
   1. Real world scenarios based on the experts’ past experience
   2. Suggested “Do’s and Don’ts”
   3. Lessons Learned

• White-Collar Lawyers
• Corporate Attorneys
• In-House/General Counsel
• Top Level Management
• Board Members
• Risk and Compliance Professionals
• Regulatory Professionals
• HR Professionals
• Internal Auditors