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What You Don't Know Will Hurt You: Effectively Conducting Investigations in a Highly Regulated Environment


Level: Intermediate
Runtime: 61 minutes
Recorded Date: March 21, 2023
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Agenda

  • Internal vs. External Counsel
  • Initial contact with government agency
  • Gathering documents & information
  • Privilege issues
  • Government interviewing employees of company
  • Disclosure obligations and issues
  • Remediation efforts
  • Resolving investigations
  • Conclusion
Runtime: 1 hour
Recorded: March 21, 2023

For NY - Difficulty level: For both newly admitted & experienced attorneys
For NY - Difficulty Level: Both newly admitted and experienced attorneys

Description

The corporate compliance and regulatory landscape is a tangled mess. Many organizations simply don't have the time or resources to adequately deal with every compliance risk, but this can be even more problematic in highly regulated environments. In this session, our experts will highlight the key roles required to conduct an investigation, examine the core principles, Guidelines, and Processes that should be introduced, and offer best practices to avoid future pitfalls.

This program was recorded on March 21st, 2023.

Provided By

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Panelists

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Jessica Robinson

VP of Operations
Casepoint LLC

Jessica Robinson is an attorney with nearly 20 years of experience in Legal Operations at all levels, from analyst to operations executive. Prior to joining Casepoint, she was the Director of Practice Support and LPMO at an international law firm, where she restructured the existing litigation support department into a global resource management operation. Additionally, she was an adjunct professor at Georgetown’s Center for Business and Continuing Education, where she taught a PMI-certified class in legal project management. As Casepoint Vice President of Operations, she provides operational leadership for client success managers, project managers, and technology professionals located globally.

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Terence Leong

Associate General Counsel, Litigation
Compass

Terence Leong is the Associate General Counsel who handles Litigation at Compass. Mr. Leong received his JD from the Northwestern University Pritzker School of Law in 2012.

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Kristin Ann Meister

Senior Counsel
IDEMIA

Kristin spent the first 7 years of her practice at two defense firms followed by 6 years prosecuting securities class actions. She then spent over 6 years managing a diverse international cross-border litigation docket, external governmental investigations and internal investigations, subpoenas, and other third-party requests at the New York branch of a global financial institution headquartered in France.
She relocated to the Washington, DC area and Kristin is now working out of Reston, VA as Senior Counsel at IDEMIA in charge of litigations, investigations, trade compliance, export control, IP, and data privacy issues.

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Lesley Marlin

Associate General Counsel, Labor & Employment
FINRA

Lesley Marlin is an experienced, senior in-house attorney with a specialty in labor and employment law. She works for Northrop Grumman as the lead labor and employment lawyer for the Company’s Defense Systems sector, which is one of the Company’s four operating units (with approximately 21,000 employees). She also supports the Company’s EEO/Compliance team. She provides day-to-day practical and strategic legal advice, develops or updates policies and procedures, responds to administrative charges and demand letters, handles government investigations, leads union negotiations, and conducts training.

Ms. Marlin speaks frequently both internally and externally on various workplace issues, including labor and employment law topics, culture and psychological safety, diversity and inclusion, resilience, and career development.


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