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Issues in Internal Investigations  


Author:  Ilan Graff.; Nicole R. Love.; Eamon O’Neill.


Source: Volume 57, Number 12, June 15 2024 , pp.113-118(6)




Review of Securities & Commodities Regulation

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Abstract: 

In recent years, regulators have implemented a variety of initiatives to further incentivize timely self-reporting and cooperation. Increased regulatory emphasis on the speed with which companies detect and address misconduct highlights the importance of thorough and efficient internal investigations. This article discusses key considerations for companies and counsel before, during, and after an internal investigation.

Keywords: Preparing for an Internal Investigation; Rule 21F-17; Whistleblower-Related Risks; Self-Reporting; Proterial Cable America

Affiliations:  1: Fried, Frank, Harris, Shriver & Jacobson LLP; 2: Fried, Frank; 3: Fried, Frank.

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