In this special crossover episode, Scott Moritz, President of White Collar Forensic LLC and host of the Fraud Eats Strategy, and Scott Maberry, host of the Note Bene, discuss important considerations in internal investigations and how integrating each into your process can improve efficiency and lead to better and more consistent results.
Key Issues Discussed in This Episode
- Why is it important that legal counsel direct an internal investigation to preserve attorney-client privilege and the attorney work product doctrine?
- How does an organization benefit from having an investigative plan or protocol in place?
- What are some atypical information sources that may come into play during an internal investigation?
- Why is it important to have a clear understanding of all data sources and how they can be accessed?
- What is the benefit of having a standing investigations committee?
- What constituencies should be represented on an investigations committee?
- What are some drivers that dictate when to introduce additional disciplines and subject matter experts?
- What are some important considerations when adding to the team, particularly when an investigation is already underway?
- Why does there need to be a plan in place in the event an investigation becomes public knowledge?
- How can investigators effectively interact with whistleblowers, build trust, and protect them from retaliation?
- What steps should be taken to prevent undue influence when senior leadership is the subject of an investigation?
- What if the allegations are directed at the legal department?
- What do you advise when an investigation moves to an overt stage within an organization?
About Scott Moritz
Scott Moritz is the president of White Collar Forensic LLC.
Based in the New York City Metropolitan area, with expertise performing assignments throughout the U.S. and cross-boarder experience, he conducts complex investigations of white-collar crime, corruption, and money laundering, from inception to the pursuit of avenues of financial recovery, as well as root cause analysis and remediation of internal controls and compliance frameworks. Scott frequently oversees large investigations teams and complementary workstreams of eDiscovery, computer forensics, forensic data analysis, technical accounting, expert testimony, surveillance, witness interviews, cyber incident response, executive protection and crisis management practitioners.
Prior to embarking on his 29 year private sector career, Scott served as an FBI Special Agent in the Memphis and New York field offices, where he investigated white collar crime, organized crime and international money laundering.
About Scott Maberry
Scott Maberry is an international trade lawyer. He counsels clients on global risk, international trade, and regulation.
Scott's practice includes representing clients before the U.S. government agencies and international U.S. Department of Treasury's Office of Foreign Assets Control (OFAC), the Department of Commerce's Bureau of Industry & Security (BIS), the Department of Commerce Import Administration, the Department of Homeland Security (DHS), the Department of State Directorate of Defense Trade Controls (DDTC), the U.S. Department of Justice (DOJ), the International Trade Commission (ITC) and the Committee on Foreign Investment in the U.S. (CFIUS). He also represents clients in federal court and grand jury proceedings, as well as those pursuing negotiations and dispute resolution under the World Trade Organization (WTO), North American Free Trade Agreement (NAFTA) and other multilateral and bilateral agreements.
A member of the World Economic Forum Expert Network, Scott also advises the WEF community in the areas of global risk, international trade, artificial intelligence and values.
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
