Effectively Conducting Internal Investigations in Highly Regulated Environments
This session will focus on how organizations can effectively lead investigations in highly regulated environments and identify gaps in their regulatory and compliance practices. Discussion topics include:
- Key roles required to conduct a proper investigation
- Principles, guidelines, and processes that should be introduced during an investigation
- Strategies for navigating ambiguous and complex regulatory environments
- How to evaluate your current regulatory and compliance practice, identify gaps, and make recommendations for remediation to avoid or minimize future investigations
Lesley Marlin, Associate General Counsel, Labor & Employment, FINRA
Maria Gallo, Director of Special Investigations & FCPA Services, TransPerfect
Matthew Baker, Partner, Baker Botts LLP
Trisha Sircar, Partner & Privacy Officer, Katten Muchin Rosenman LLP
Kelly Schultz, Director, Ethics & Compliance Investigations, Uber
Anyone with a Legalweek Pass is able to attend this session, no additional registration required.