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How To Conduct an Internal Investigation

March 5, 2013
1:00 PM – 3:00 PM ET

Course Description:

Knowing when to request the commencement of an internal investigation is a decision fraught with profound consequences both for your firm and its management and employees.  Once the decision to conduct an internal investigation is reached, it is imperative that the investigation be properly conceived and executed. Failure to do so may not only impede the investigation from achieving its goal, but may result in the investigation backfiring with unforeseen and damaging consequences. This session will provide guidance on when and how to initiate an internal investigation and provide a game plan for structuring and conducting the investigation. The session will also cover how to protect, encourage and respond to legitimate whistleblowers.

Learning Objectives:

After attending this course, attendees should be able to:

  •  Identify factors that should be considered in determining who will conduct the  investigation and in defining the scope of the investigation
  • Discuss how to deal with employees and the importance of ensuring that documents and electronic communications are protected and preserved
  • List appropriate practices for internal reporting of the results of the investigation and considerations that pertain to disclosure to third parties 

For Whom: Chief Compliance Officers, Internal Auditors, Compliance Staff at all Levels, Marketing Personnel, Legal Counsel and Management

Suggested Skill Level: Intermediate

Instructional Method: Group-Internet-Based

Prerequisites for participation: No prerequisites are needed.

Advance Preparation: None

Order this Desktop on Demand

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