Ethical Considerations in Conducting Internal Corporate Investigations

Program Number: 2313

Program Date: 02/06/2013


Ed Fishman of K&L Gates highlights ethical issues that must be considered by internal and external counsel when conducting internal corporate investigations. The importance of conducting internal corporate investigations continues to increase as a result of U.S. government enforcement initiatives (including Sarbanes-Oxley and the Dodd Frank Act) and civil litigation trends. Companies can obtain very significant benefits by properly and effectively conducting an internal investigation. However, investigative counsel must be aware of common ethical challenges that may arise when conducting such investigations. The topics covered in this program include conflict of interest issues (including the potential hazards of joint representation under Model Rule 1.13(g)), attorney-client privilege issues (including the importance of providing an "Upjohn" warning and the consequences of privilege waiver), cooperation credit and remediation considerations (under the U.S. Sentencing Guidelines, the DOJ Principles on Federal Prosecution of Business Organizations and the SEC Seaboard Report), and data privacy and other local law considerations when conducting global investigations (e.g. EU Data Protection laws).

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Available in states

California, Colorado Eligible, Georgia, New Jersey Eligible, New York, Texas Self Study

Credit Information

50 minute credit hour - 1.0 General CLE credit, including 1.0 Ethics credit, based on a 50-minute credit hour
60 minute credit hour - 1.0 General CLE credit, including 1.0 Ethics credit, based on a 60-minute credit hour

State Program Numbers


Edward J. Fishman

K & L Gates, LLC

 Edward J. Fishman, Esq., a partner in the Washington, D.C. office of K&L Gates LLP, has a broad range of experience advising clients with respect to U.S. and foreign government procurements, securities enforcement and compliance matters, cross-border transactions and complex infrastructure projects. Mr. Fishman has substantial experience representing clients in connection with the Foreign Corrupt Practices Act (“FCPA”), export control and other U.S. laws that apply to business activities outside the U.S., and he has conducted global internal investigations relating to FCPA, internal fraud, auditor independence and financial accounting irregularities for public and private companies in various industries. He manages a global team of lawyers that conducts FCPA due diligence and compliance reviews, has provided Code of Conduct training to clients in numerous countries, and regularly advises clients with respect to matters before the U.S. Department of Justice and the U.S. Securities and Exchange Commission.