Image of Conducting Credible Internal Investigations
On Demand

Conducting Credible Internal Investigations

Practice Areas:
Regulatory Compliance
Josh Wallenstein |  James Prince
Course Levels:
1 hour
Audio and Video
Original Program Date :
Sep 20, 2018

Course Description

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Course Description

Learn from both in-house practitioners and outside counsel about how to manage privileged internal corporate investigations.  

The course will cover how to (i) appropriately intake allegations, (ii) scope and conduct the investigation in an effective and cost-efficient manner, while still maintaining privilege, (iii) come to a credible and defensible conclusion, and (iv) report findings to the Board and senior management.  Special attention is given to best practice interrogation techniques and detecting deception during interviews.

Course Learning Objectives

At the end of this session, participants will be able to:

  • create defensible systems and processes to handle allegations of malfeasance
  • appropriately scope the parameters of an internal investigation
  • efficiently and cost-effectively conduct the internal investigation, while maintaining privilege in the process
  • detect common signs of deception during interviews
  • draft credible case summaries and reports
  • properly discuss findings with the Board and senior management

Topics and Agenda

1.  Mins. 1-5: Key Principles
2.  Mins. 6-15: Applicable Standards
3.  Mins. 16-25: The Generation of Allegations
4.  Mins. 26-35: Opening, Scoping, and Staffing
5.  Mins. 36-45: Conducting the Investigation
6.  Mins. 46-55: Documenting the Findings
7.  Mins. 56-60: Reporting to the Board and Senior Management


CLE Credits

Mandatory CLE Credit

This program may be eligible for a total of 1 CLE credit(s) in a 60 minute state of which 0  are Ethics credits.

This program may be eligible for a total of 1.2 CLE credit(s) in a 50 minute state of which 0  are Ethics credits.




This course has been approved for 1 MCLE General Credit(s) in California of which 0 are Legal Ethics, 0 are Elimination of Bias in the Legal Profession, 0 are Prevention, Detection and Treatment of Substance Abuse/Mental Illness that Impairs Professional Competence.


All courses are presumptively approved.  This course has been approved for 1 MCLE General Credit(s) in Georgia of which 0 credit(s) qualifies for Ethics credit.


This course has been approved for 1 MCLE General Credit(s) in Illinois of which 0 credit(s) qualifies for Professional Responsibility credit.


Select Counsel is an approved provider in the State of Pennsylvania. This course has been approved for 1 CLE Credit(s) in Pennsylvania of which 0 credit(s) qualifies for Ethics credit.


This course has been approved for 1 MCLE Credit(s) in Texas of which 0 credit(s) qualifies for Ethics credit.

States Pending Approval

The following states are pending approval.


An application for MCLE credit is pending in Ohio.


An application for MCLE credit is pending in Washington.

Other MCLE Jurisdictions

Reciprocal States: The following jurisdictions allow reciprocity for courses approved in other MCLE jurisdictions:Alaska, Arkansas, Colorado, Florida, Montana, New Jersey, New York, North Dakota, and Oregon.

Self Reporting States: States that allow an attorney to apply or self-report CLE credit are: Alabama, Delaware, Hawaii, Idaho, Indiana, Iowa, Kentucky, Louisiana, Maine, Minnesota, Mississippi, Nebraska, Nevada, New Hampshire, New Mexico, North Carolina, Oklahoma, Oregon, Rhode Island, South Carolina, Tennessee, Utah, West Virginia, Wisconsin and Wyoming.

Course Materials


Josh Wallenstein's Profile

Josh Wallenstein Related seminars and products: 2

Managing Member

Wallenstein Law Group

Josh Wallenstein is an accomplished attorney and compliance expert.  He is also the Managing Member of The Wallenstein Law Group, a boutique practice specializing in legal and compliance issues.
Mr. Wallenstein offers his clients practical, no-nonsense solutions to a wide variety of compliance concerns.  He delivers cost-effective advice developed from his almost 15 years of legal, compliance, and risk management experience.  
In-House Counsel:  includes regional and global postings in Mexico City, Dubai, and various US cities.  His most recent in-house position was as Chief Compliance Officer for a public international company in Houston, Texas (USA).  As a result, Mr. Wallenstein’s counsel is tempered with a unique cultural and linguistic sensitivity that ensures optimal effectiveness.  
Outside Counsel:  includes engagements across the globe in a variety of industry sectors.  Recent examples include acting (i) as the Compliance Expert relating to a World Bank debarment and (ii) as interim compliance officer during an extended deferred prosecution agreement from the U.S. Department of Justice.  Because of the breadth and depth of his experience, Mr. Wallenstein is the counsel of choice for complex international matters.  
Mr. Wallenstein is a member of the Texas, New York, and District of Columbia bars.  He holds a J.D. from Stanford Law School and a B. A. from Southern Methodist University; he is a published author and frequent public speaker on ethics and compliance-related issues.
Mr. Wallenstein speaks English, Spanish and Portuguese.

PRACTICE FOCUS: Compliance | Risk Management
LAW SCHOOL: Stanford University

James Prince's Profile

James Prince Related seminars and products: 1

General Counsel

Government Affairs at Schlumberger

James Prince is General Counsel – Government Affairs for Schlumberger Limited.  In this position, James is directly responsible for overseeing the Companies’ trade and customs compliance program, managing material government investigations and liasoning with Government Regulators regarding compliance risks.  Prior to joining Schlumberger, James spent almost a decade working with a DC based law firm in its International Trade practice group.  

MCLE Information for On-Demand

MCLE Information for On-Demand Seminars

General Information

Please note that Select Counsel delivers multiple on-demand courses. Please view a specific course program’s description page or marketing materials for information indicating the jurisdictions a specific program is eligible for credit.

Accreditation Information

Select Counsel applies for credit for most of it's on-demand seminars the following states:

  • Georgia
  • Illinois
  • Ohio
  • Texas
  • Washington

Select Counsel is an approved accredited provider for in the states of California and Pennsylvania.  CLE credit is available for all Select Counsel courses. 

Please refer to the CLE credit tab to determine which states are approved and those that are pending.

Select Counsel does not seek direct accreditation in AL, AK, AZ, CO, CT, DE, FL, GU, HI, IN, IA, ID,  KY, LA, MN, NE, ME, MO, MP, MS, MT, NH, NJ, NM, NY, NV, NC, ND, OK, OR,  PR, RI, SC, TN, UT, VI, VA, VT, WI, WV and WY.  However, if there is a high demand for a particular state during the registration process, Select Counsel will consider submitting an application for accreditation in that state. Meanwhile, most states allow for Course Approval Reciprocity or Attorney Submitted Applications for Accreditation.  Please see details below.

Course Approval Reciprocity

The following states allow attorneys to earn CLE credit through reciprocity from a course or course provider that meets the basic requirements for approval in that state.  States that allow reciprocity for courses approved in other jurisdictions are listed below.  Click any of the states  below for rules and regulations regarding reciprocity in that  below state.

Self-Reporting/Accreditation States

Select Counsel has not submitted applications in the states listed below.  Many states allow attorneys to submit a course for approval and/or self-report their attendance to the their MCLE Board if it has not been submitted by the sponsor of the course. Currently attorneys who participate in a Select Counsel course who want CLE for the states listed below need to apply/report directly with that state. However, if there is a high demand for a particular state during the registration process, Select Counsel will consider submitting an application for accreditation in that state.

  • Alabama
  • Delaware
  • Georgia (for some select counsel programs, see the CLE Credit tab for additional information)
  • Hawaii
  • Idaho
  • Indiana
  • Iowa
  • Kentucky
  • Louisiana
  • Minnesota
  • Mississippi
  • Nebraska
  • Nevada
  • New Hampshire
  • New Mexico
  • North Carolina
  • Oklahoma
  • Oregon
  • Rhode Island
  • South Carolina
  • Tennessee
  • Utah
  • West Virginia
  • Wyoming

At this time, Kansas requires the sponsor of all non-traditional format courses to submit the program application. (Kansas will not accept an application from an individual lawyer).


Please note that some states have accreditation fees. In addition, some states may not approve specific programs, formats, or topics for credit. This list is a general guide only. Specific information about your state accreditation requirements can be found on your state's regulator page. For contact state regulator contact information please visit the Continuing Legal Education Regulators Association at

Certificates of Attendance and Tracking

For each on-demand seminar, Select Counsel will be tracking your attendance through participation codes that pop up during the presentation. Instructions on how to use these participation codes, along with information about how to retrieve your credit will be provided to you prior, during and after the completion of the program.


Upon completion of the course you will receive a either a state specific certificate of attendance for the courses that Select Counsel applied for or a Uniform Certificate of Attendance for states that have reciprocity or are self applying/reporting states.  


State by State reporting instructions will be included with each certificate of attendance. You will receive this information via email, as well as in a handout that can be accessed before, during and after the course in your customer account.

Participation Reporting

Select Counsel only applies for course approval in the following states: CA, IL, OH, TX, and WA and is an accredited provider in PA.  Select Counsel will report attendance in any of the above states (e.g. PA) that require the provider to report attendance.  For states that allow course approval reciprocity and/or that attorneys are self-reporting/applying, Select Counsel will guide you to the appropriate forms and governing bodies. All information about reporting credit to your state will be provided as a hand out prior, during and after the completion of the course.

A Note About MCLE Credit

The content on this page is for informational and educational purposes only. Each state has its own rules and regulations indicating what qualifies for CLE credit. Certain programs, subjects, and formats may not receive credit in some states and there may be specific rules regarding who may earn credit or the maximum number of credit hours that may be earned with specific formats.  Please contact your state MCLE regulatory entity for specific questions about your MCLE rules. For contact information, go to

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