Ethics and Internal Investigations

Presenters:

Amy Walsh Orrick, Partner

Nicholas Oliva Mitsubishi Chemical Holdings America, Chief Legal Officer - Americas & Europe

Matthew Moses Orrick, Partner

Categories:

Ethics Investigations

Program Level: Intermediate

Duration: 60 minutes

Recorded On: January 28, 2020

Program Description

Mitsubishi Chemical’s General Counsel joins white collar litigators from Orrick to discuss key ethical issues that arise in internal investigations, including preserving the attorney-client privilege and protecting work product, scoping the investigation, understanding who is the client, potential conflicts, employee interviews, a lawyer’s duty to act and report up and how the whistleblower statutes interplay with ethical requirements of attorneys.

The discussion starts out with a hypothetical situation and then addresses the ethical and privilege considerations involved in each of the stages of the ensuing investigation, including establishing who is the client and who should lead the investigation, working with a whistleblower, conducting employee interviews, reporting back to management, working with auditors, and communicating with employees once the investigation is over. The discussion offers helpful insight into who should have access to what information (internally and externally) to ensure the preservation of privileged communications.

Learning Objectives

At the end of this session, in the context of an internal investigation, participants will have a better understanding of:

  • The different stages of an internal investigation;
  • Maintaining the attorney-client privilege throughout an internal investigation;
  • Who is the client;
  • Who should lead the investigation;
  • How to handle a whistleblower complaint;
  • How to conduct employee interviews, particularly in the context of a multinational corporation;
  • When and how to report the findings of the investigation to management;
  • Disclosure to auditors about the investigation; and
  • Communicating with employees about the investigation after it is complete.
CLE Info

This program is currently available for 1.0 Ethics credit in the following states:

Alabama
Alaska
Arizona
Arkansas
California
Connecticut
Georgia
Hawaii*
Illinois
Mississippi
Nevada
New Hampshire
New Jersey*
New Mexico
New York
North Carolina
North Dakota
Oklahoma
Pennsylvania
Texas
Vermont
West Virginia

In addition, we have applied for credit in the following states, and will promptly update the list above as the program is approved in each such state:

Colorado
Indiana
Minnesota
Ohio
Oregon
Tennessee
Washington

*In Hawaii and New Jersey, we rely on their reciprocity policies pursuant to which our programs are deemed accredited once they are approved in the various reciprocity states where we apply such as California, Illinois, New York, Pennsylvania and Texas.Note that in Missouri and Wisconsin, attorneys cannot satisfy ethics credits with on-demand programming. As such, this program is only approved for general credit in Missouri and Wisconsin.

For information on attendance reporting, please refer to the CLE Info page.

Presenters:

Amy Walsh
Partner, Orrick

Nicholas Oliva
Chief Legal Officer - Americas & Europe, Mitsubishi Chemical Holdings America

Matthew Moses
Partner, Orrick

Categories:

Ethics Investigations

Program Level: Intermediate

Duration: 60 minutes

Recorded On: January 28, 2020