The Survival Imperative: How to Conduct an Internal Investigation
February 9, 2012
1:00 PM – 3:00 PM ET
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. The 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.
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, Management
Suggested Skill Level: Intermediate
Instructional Method: Group-Internet-Based
Pre-requisites for participation: No prerequisites are needed.
Continuing Education Credits:
See NRS Continuing Education Guide
Recommended CPE Credit: 2
Order this Desktop on Demand