Checklist for internal investigations - practical pointers to remember during an internal investigation

Article Abstract:

There are numerous steps to keep in mind when conducting an internal investigation. General steps include determining clients and the investigation's scope, ascertaining potential litigation issues, and protecting work product. Other items to manage include addressing multiple representation issues, joint defense agreements, privilege preservation, collection and control of documents, interviewing witnesses, and report preparation.

United States

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Between a rock and a hard place: internal corporate investigations and the attorney-client privilege

Article Abstract:

Conducting internal investigations have both benefits and disadvantages, the biggest disadvantage involving the protection of attorney-client privileged documents. Some courts have ruled that documents disclosed to the SEC from internal investigations waive the work product privilege, even though the SEC encourages self disclosure by lessening sanctions. Suggestions for protecting attorney-client privileged documents are included.

Ethical aspects

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The confusion continues: protection of internal corporate investigation materials under the attorney-client privilege and work product doctrine, revisited

Article Abstract:

The SEC has encouraged companies to conduct internal investigations to rectify misconduct by offering lesser penalties for those who report voluntarily, but this has jeopardized the attorney-client privilege of such records. Courts have often held that internal investigative materials are not privileged, and third parties often sue to have access to these materials. Recommendations to protect investigative records are presented.

Laws, regulations and rules

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