Investigating Conflicts of Interest
7:30 a.m. - 8:00 a.m.
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Registration - Breakfast Pastries
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8:00 a.m. - 9:20 a.m.
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Introduction and Overview - Legal Elements of Conflicts of Interest
Conflict of interest cases are among the most difficult and important white-collar offenses, and generally occur at the upper levels of an organization. Examples of characteristics of these investigations often include: difficulties in obtaining the cooperation of witnesses, possible disclosure requirements for SEC reporting companies, possible adverse publicity, and possible criminal or civil claims against the company. Learn how to address these challenges and other issues. |
9:20 a.m. - 9:35 a.m.
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Break
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9:35 a.m. - 10:55 a.m.
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Typical Conflict of Interest Situations, Part 1
The specific conflict scenarios described in this session all have common elements, and illustrate the general moral and legal maxim that a person cannot serve “two masters.” The scenarios presented are variations of the rule that a fiduciary, agent or employee must act in good faith, with full disclosure, in the best interest of the principal. |
10:55 a.m. - 11:10 a.m.
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Break
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11:10 a.m. - 12:30 p.m.
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Typical Conflict of Interest Situations, Part 2
Understanding the background of internal conflicts can play a critical role in the success of your investigation. Gain insight into how and why conflicts arise as well as what red flags to look for.
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12:30 p.m. - 1:30 p.m.
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Group Lunch
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1:30 p.m. - 2:50 p.m.
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Document Collection, Organization and Analysis/Investigation Methods
Internal company records, public records and non-public external documents are almost always important in a conflict of interest case. Once the relevant data and documents have been obtained, the investigation team must analyze the content before moving forward with the investigation. This session will also cover steps of the investigation and basic interview principles.
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2:50 p.m. - 3:05 p.m.
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Break
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3:05 p.m. - 4:25 p.m.
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Evidence, Civil Litigation and Civil Actions
Defendants in high-stakes fraud cases will generally threaten civil claims against the company or the investigators. This is done to use intimidation in an effort to stop the investigation, or to create side issues at trial. Investigators who engage in unprofessional, malicious or excessive acts could subject themselves to damages. Knowing what evidence is necessary for a conflict of interest investigation and how that evidence and its collection method can be used against you is crucial.
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