Mike and Brent welcome Amanda Robinson, who leads Morgan Lewis’s U.S. congressional investigations practice. Amanda, Mike, and Brent discuss Amanda’s professional background (01:18); what companies should be preparing for in congressional investigations (01:57); how congressional investigations fundamentally differ from litigation (02:31), including why sometimes the most legally aggressive position is not necessarily the best strategic position when dealing with Congress (04:29); the strategy for deciding whether, and how, to respond to voluntary requests (06:02); potential limits to congressional authority (11:30); the potential consequences of not responding to a congressional subpoena (14:40); the potential for information provided to Congress to turn up with other U.S. agencies (15:57); the importance of defending clients while remaining trusted, honest brokers with committee staff (20:01); the need to consider not only how the disclosing party interprets the information but how the receiving staff or other agency will interpret it (22:29); the critical importance of prior statements or other statements made outside a congressional investigation and the value of a “statement inventory” to an effective response (26:45); effective strategies (and pitfalls to avoid) for companies expecting prior deals with the Executive Branch to come under congressional scrutiny (31:24); key concepts for effective witness selection and preparation (32:27); why board members, c-suites, and general counsels should first build an “oversight map” to anticipate where future congressional scrutiny might arise and begin to plan for responding (39:52); and the value of proactive corrective and remedial action (40:38).
They then conclude with the latest installment of Brent Carlson’s “Managing Up” segment (41:50).
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Korrine Kohm is CSS’s Director of Retail Wealth Manager Services. Prior to CSS, Korrine was the Chief Compliance Officer and Head of Operations at Estabrook Capital Management where she was responsible for all compliance functions of this SEC-registered, $2.1B investment advisory firm. Korrine began her regulatory career while working at Allied Irish Bank (NY) in the Operations Department where she was a key member of AIB’s Compliance Committee, responsible for ensuring compliance with Federal and State regulations. An active member of the National Society of Compliance Professionals for over 10 years, Korrine earned her Investment Adviser Certified Compliance Professional (IACCPTM) designation in 2006, is a member of the Association of Certified Fraud Examiners, and obtained her Certified Fraud Examiner designation. In addition to her experience in compliance and banking, Korrine began the 16-week intensive training course in Quantico, Virginia, to become a Special Agent with the Federal Bureau of Investigation. She has particular experience in crafting customized policies and procedures, developing and implementing compliance programs, conducting on-site compliance reviews, acquisition due diligence reviews, risk assessments and mock SEC examinations. She routinely councils clients on various regulatory matters, including SEC registration issues, social media and advertising, policies related to diminished financial capacity, disclosures and the annual review process.
