Responding to Corporate Criminal Investigations


2013/568 pp. Hardcover/ISBN 9781617460067/Order #2006

The dramatic increase in federal investigations and prosecutions of corporations and their employees has brought countless challenges to corporate counsel responsible for responding to government inquiries. Corporate counsel must be well armed to combat these challenges at each stage of a criminal investigation or prosecution, from document collection, retention, and production, to legal doctrines imposing criminal liability on corporations and their employees. Now, a former federal prosecutor and a former SEC enforcement attorney, collectively with decades of experience in both bringing and defending against such cases, have teamed up to share their expertise in responding to federal government investigations and developing proactive strategies to prevent and mitigate corporate criminal liability.

Responding to Corporate Criminal Investigations is an essential resource for defense counsel and corporate executives. The authors provide an insider’s roadmap, based on their own experiences with a wide variety of federal cases, for counsel and professionals to navigate every stage of the investigative process. A true desk reference, Responding to Corporate Criminal Investigations covers all of the essential topics, including:

  • The bases for corporate criminal liability and the fundamentals of prosecution
  • Best practices for responding to government inquiries
  • Subpoenas and warrants
  • Managing documentary evidence
  • Maintaining attorney-client privilege
  • Negotiating corporate plea agreements
  • Corporate indemnification and insurance
  • The expanded use of corporate monitors and deferred and non-prosecution agreements 

The resource also provides discussion of the complex steps for conducting an effective and efficient internal investigation, including the methods used and practical tips to avoid the pitfalls most often encountered. Recognizing that many times corporations face simultaneous inquiries by the SEC, the treatise also includes relevant considerations for defending parallel proceedings and understanding the impact of a multi-faceted investigation.


“[This] book is an extremely comprehensive study of corporate criminal law … a thorough and well-researched view on the topic, presented in an organized and approachable manner.” – Christine Bowersox, 2014, Law Library Journal Volume 106:2