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Book Review

Deskbook on Internal Investigations, Corporate Compliance and White Collar Issues

Author: Kaye Scholer LLP White Collar Litigation and Internal Investigations Group
Publisher: Practising Law Institute (2007)

The Deskbook on Internal Investigations, Corporate Compliance and White Collar Issues is an invaluable reference book for both seasoned practitioners and novices. The authors of the book, 13 highly  accomplished members of Kaye Scholer's White Collar Litigation and Internal Investigations Practice Group, combined their vast  experience and best practices into a well-organized volume that takes the reader step by step through a variety of situations that a white-collar criminal defense attorney may  encounter when called upon to advise a client.

It was a pleasure reading the Deskbook because its tone was that of a personal adviser to the reader. The Deskbook's first section addresses "process" issues, including corporate compliance, internal investigation of suspected wrongdoing by corporate employees, grand jury and SEC investigations, responses to searches and seizures, and government leniency programs. The second section of the book addresses specific, white-collar "substantive" legal issues, such as  pharmaceutical drug offenses, perjury, money laundering and the Foreign Corrupt  Practices Act - all prominent areas of  the law in today's enforcement climate.

Throughout, the Deskbook incorporates discussions regarding potentially applicable ethical considerations, such as the multiple representation of parties in a grand jury context and the preservation of the attorney-client and work-product privileges. Discussion of the relevant New York case law is included in some sections as well.

Experienced attorneys will benefit from the Deskbook's inclusion of the recent case law that establishes best practices for both conducting an internal investigation and representing a corporate client in other settings, particularly in light of the recent changes in the Department of Justice's policy regarding the waiver of the attorney-client privilege espoused by the Thompson and McNulty memoranda and the impact of the Sarbanes-Oxley Act of 2002. In addition, the Deskbook includes sections presenting comprehensive information on specialized areas of the law that one may not have dealt with previously, such as the penalties of suspension and debarment in connection with businesses receiving federal contracts and subcontracts, and employment law issues arising as a result of discharging an employee suspected of wrongdoing.

The Deskbook provides attorneys just beginning with an opportunity to learn about the myriad tasks that a criminal defense attorney may face. It also provides a means for understanding the bigger context of the case when assigned a task, such as document review pursuant to a subpoena. It fills the void in available legal reference texts by offering a much needed practical guide for the white-collar criminal defense attorney, succinctly explaining techniques that are typically learned over the course of many years of hands-on experience.

Even experienced attorneys can gain valuable insight and knowledge from the book. For example, to prepare a memorandum summarizing an interview of an employee as part of an internal investigation, the book advises that verbatim quotes should be avoided as much as possible and the introductory language of the memorandum should include that it "contains the impressions of the interview." This advice stems from a federal case in New York ordering the disclosure of attorney notes of an interview to an opposing party in a civil suit when the party had "substantial need" and the notes were not impressions but rather "a running transcript of the meeting in abbreviated form." It is the incorporation of tips such as this one that will elevate any attorney's practice.

The Deskbook, as its name implies, serves as a convenient reference tool. At the end of each chapter, there is a checklist summarizing the points presented, and the back of the book features an extensive collection of appendices containing critical reference documents, such as the U.S. Department of Justices memoranda regarding the Principles of  Federal Prosecution of Business Organizations (including the McNulty and Thompson memoranda), a model confidentiality agreement with the SEC and portions of the Federal Sentencing Guidelines Manual. The Deskbook is a must-have resource for any white-collar criminal attorney.

Click here to review the entire December 2007 issue of the New York County Lawyer newsletter.

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Reprinted with permission from New York County Lawyer.

This advisory may be reproduced, in whole or in part, with the prior permission of Thompson Hine LLP and acknowledgement of its source and copyright. This publication is intended to inform clients about legal matters of current interest. It is not intended as legal advice. Readers should not act upon the information contained in it without professional counsel. This document may be considered attorney advertising in some jurisdictions. Some of the design images and photographs in this document may be of actors depicting fictional scenes.