Conducting Effective Internal Investigations Involving U.S. Export and Sanctions Violations

Description

When confronted with potential export violations, having a process in place to identify where to start and how to develop a plan to conduct the review is essential. Addressing the foundational issues of who, what, where, why, when, and how will help structure the review and, at the same time, provide the necessary information required to inform management and the board, and engage with the relevant U.S. government agencies responsible for export compliance and enforcement. In addition to these foundational issues, internal investigations must also take into consideration foreign laws that may directly impact the course of the investigation. These include foreign data protection laws and, increasingly, foreign laws that block U.S. laws such as the EU Blocking Statute and China’s Anti-Foreign Sanctions Law.

When undertaking an internal investigation, companies and their counsel would benefit from a thorough analysis of the legal and practical issues, including whether to conduct the investigation, how to conduct it in a cost-effective manner, how to manage privilege and foreign data protection issues, confidentiality concerns, and conflicts of law (e.g., China’s Anti-Foreign Sanctions Law, among others).

With increasing regulatory scrutiny, including by foreign data regulators, counsel must carefully weigh whether to conduct an internal investigation into suspected or alleged violations and how to conduct the investigation in the most effective manner, especially where the data may be located outside the United States.

Listen as our authoritative panel of international trade attorneys examines the factors to consider in determining whether and how to conduct an internal investigation for export violations. The panel will review the key elements and discuss the potential pitfalls that may occur along the way, including the perils of parallel investigations. The panel will offer guidance to avoid pitfalls and conduct an effective investigation.