04587nam a2200349Ia 4500 297185 OCoLC 20160527203342.0 he bmb---bbca 070703s2007 ilu bb 001 0 eng d 9781590319154 (pbk.) 159031915X (pbk.) (OCoLC)466461094 PUCPR cicg KF 1416 .I573 2007 345.73/0268 22 Internal corporate investigations Barry F. McNeil and Brad D. Brian, editors. 3rd ed. Chicago, Ill. Section of Litigation, American Bar Association c2007. xviii, 526 p. 23 cm. Includes bibliographical references and index. Chapter 1 Overview: Initiating an Internal Investigation and Assembling the Investigative Team 1 -- A The Sarbanes-Oxley Act of 2002 and Its Aftermath 3 -- B The McNulty Memo of 2007: Cooperation, Waiver and Indemnification 5 -- II Different Types of Internal Investigations 6 -- III The Initial Meeting 7 -- A The Starting Point: Identifying the Client and Deciding Whether to Conduct an Investigation 7 -- B Defining the Scope of Internal Investigation 9 -- C Applying the Attorney-Client Privilege and Work-Product Doctrine 10 -- D Assembling the Investigative Team 11 -- E Agreeing to Lines of Reporting and Supervision 12 -- F Anticipating What Can Go Wrong 13 -- IV Preliminary Steps to Prepare for Government Investigations 14 -- Chapter 2 Implications of the Attorney-Client Privilege and Work-Product Doctrine 17 -- II Attorney-Client Privilege 19 -- A Definition of the Attorney-Client Privilege 19 -- B Elements of Attorney-Client Privilege 21 -- C Practical Problems of Employee Interviews 36 -- III Work Product Protection 44 -- A Work-Product Doctrine Defined 44 -- B Factual Versus Opinion Work Product 46 -- C Elements of the Work-Product Doctrine 47 -- D Overcoming the Qualified Immunity 56 -- E Protection of a Lawyer's Mental Impressions 57 -- IV Overcoming the Attorney-Client Privilege and Work-Product Doctrine 60 -- A Waiver 60 -- B The Crime/Fraud Exception 78 -- C Shareholder Litigation 82 -- V Effect of the Sarbanes-Oxley Act and Recent Securities Exchange Commission and Department of Justice Policies on the Attorney-Client Privilege 86 -- Chapter 3 The Witness Interview Process 93 -- II Preparing for Witness Interviews 95 -- A Initial Concerns 95 -- B Key Principles 98 -- C Before the Interview 100 -- III Conducting the Interview 102 -- A Mechanics 102 -- B Warnings to Witnesses and the Attorney-Client Privilege 103 C Conducting the Interview 107 -- IV Making a Record of the Interview 108 -- A Sarbanes-Oxley and the Responsibilities of Counsel 111 -- B Obstruction of Justice 112 -- C Other Typical Problems That Arise during Witness Interviews 114 -- Chapter 4 Perjury and Obstruction of Justice 117 -- II Perjury and Subornation of Perjury 118 -- A Perjury Under [section] 1621: Essential Elements 119 -- B Burden of Proof and the Two Witness Rule 121 -- C True Answers and Ambiguous Questions 122 -- D Perjury Under [section] 1623: Differences 124 -- E Subornation of Perjury 126 -- III Obstruction of Justice 130 -- A False Statements 131 -- B Witness Tampering 135 -- C Document Destruction 140 -- Chapter 5 Gathering and Organizing Relevant Documents: An Essential Task in Any Investigation 147 -- II Organization and Planning 150 -- A Initial Dialogue with Management 150 -- B Document Retention and Preservation 152 -- C The Investigating Team 152 -- D Initial On-Site Inspection 153 -- III Document Gathering 153 -- A Ensuring Comprehensiveness 153 -- B Ensuring Integrity and Control 154 -- C Electronic Document Gathering 155 -- IV Document Processing 156 -- B Numbering 157 -- C Copies 157 -- E Indexing and Coding 159. Microfiche. [Buffalo, NY] W.S. Hein Co. [1993- ]. microfiche : negative ; 11 x 15 cm. American Bar Association archive publications. Corporation law United States Criminal provisions. 80964 Local Governmental investigations United States. 104841 Local McNeil, Barry F. 1944- 252294 Local Brian, Brad D. 1952- 204555 Local American Bar Association. Section of Litigation. 52025 Local American Bar Association archive publications. 216307 216307 0 0 lc 0 KF_1416_000000000000000__I573_2007 0 cil 361753 7 7 4 2016-05-27 ABA 115.00 449934 0 KF 1416 .I573 2007 70000000884578 2016-05-27 00:00:00 r:297185 6