Chicago partner Jeff Percont moderated a panel titled “Managing Your Response to a Government Investigation: Ethical Considerations” at the ACC’s CLE program on Practical and Ethical Considerations for Managing Government Investigations on June 25, 2015. The panel featured Drinker Biddle partner Dan Collins, the chief of the Criminal Division at the United States Attorney’s Office for the Northern District of Illinois, and a regional director from the Securities and Exchange Commission.
Panelists discussed the issues presented in responding to a government investigation and conducting internal investigations. Conversation focused on ethical and practical issues, including deciding who conducts the investigation; determining who the client is for purposes of the investigation; defining the scope of the investigation; and addressing potential conflict and privilege issues. Other topics included if and how company lawyers should advise individual employees, the role of management in preparing a response to investigators, and the steps necessary to help ensure that the government views the investigation as independent and rigorous.