Investigations – Internal, External and Regulatory
Matters involving potential breaches of securities rules and regulations, fraud or other dishonest acts, workplace misconduct, violence, sexual harassment and assault, or any other concerns arising as a result of the conduct and activities of senior executives, employees, directors or advisors must be handled quickly, objectively and discreetely.
Goodmans securities, fraud, and employment experts will help to identify your risks and assist in the creation of a customized internal response plan and external communication program to help you contain the situation and address it in an efficient and timely manner. We will support you in rolling out your plan and program by training your management team so that, come what may, you can be confident you will be ready.
Whether discovered as a result of a whistleblower, existing internal complaints procedures, an appointed ombudsman, an audit or other external review, a regulatory inquiry, a criminal investigation, or even just by happenstance, your reaction to a crisis, in substance and in process, will be the subject of much scrutiny. Our team will guide you through the labyrinth of risks so you can:
- identify the nature of the crisis
- identify potential outcomes, penalties, sanctions, costs and financial and reputational impacts
- designate your response team
- manage immediate elements, including prevention or mitigation opportunities
- establish your message and disseminate it to the intended audience
- manage and interact with the various players – internal (directors, officers, employees), external (investors, insurers, suppliers/customers/counter-parties/partners), regulators and law enforcement officials
- determine whether to investigate internally, externally or both and on what scale
- consider the extent of public disclosure about your investigation
- establish an investigative process that is defensible with a clear mandate and time line
- manage the long term elements of any investigation, its deliverables, its consequences, and future implications
Our team has extensive experience leading and guiding independent response and investigatory teams comprised of legal and non-legal professionals and stakeholders.
We understand the legal and reputational framework in which these investigations operate and how they will be scrutinized after the fact. In addition to providing guidance about the process, we can provide guidance about necessary steps such as:
- responding to subpoenas and search warrants
- document preservation
- critical event time lines
- witness interviews (within and outside of the organization)
- decision making
- disclosure obligations
- lessons learned and contemplated changes
We are also experienced in managing employee relations and employment obligations, privacy, privilege, confidentiality, and regulatory considerations and working with other members of the crisis management team locally and in multiple jurisdictions.