Financial Services Part IV: Internal and External Investigations in the Highly Regulated Financial Services Industry

In Part IV of this series, join Epstein Becker Green’s  John F. Fullerton III, Brian L. Friedman, and Victoria Sloan Lin as they address the nuances of internal and external investigations.

In the financial services industry, investigations by the government or self-regulatory organizations are commonplace, and because they inevitably involve employee conduct (or misconduct), there is frequently an internal employment-related investigatory component. With potential financial liability and reputational harm ever-present, the strength of a company’s investigatory process is critical.

Learning Objectives:

1. Identify common types of investigations
2. Develop best practices for investigations
3. Address issues involving overlapping or simultaneous internal and external investigations
4. Discuss privilege, work-product, and ethical issues that arise during investigations