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Managing Expectations in a Government Investigation

Level: Advanced
Runtime: 62 minutes
Recorded Date: June 13, 2017
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  • Implications of an investigation
  • Defining the client, scope and goals
  • Preserving attorney-client privilege and confidentiality
  • Dealing with individual employees
  • Corrective and remedial measures
  • Settlement negotiations and litigation
  • Data Privacy issues
  • Using technology
  • Production Protocols
Runtime: 1 hour and 2 minutes
Recorded: June 13, 2017


A growing body of federal agency guidance seeks to incentivize companies and individuals to provide material assistance to the investigating agency. This session will discuss the role of ESI and e-discovery processes in government investigations, in particular government expectations in this area, what factors a company should consider when collecting and processing ESI, how to use the e-discovery process to positively engage the government, key e-discovery trends relevant to government investigations and any expected changes from the change in administration.

This program was recorded on June 13th, 2017.

Provided By

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Helen Bergman Moure

Lex Aperta, PLLC

A commercial litigator in federal and state court for more than 20 years, Helen has devoted her practice since 1999 to the delivery of efficient and cost-effective e-discovery and document review services to a wide range of clients from sole entrepreneurs to Fortune 100 corporations. A former partner at K&L Gates in Seattle, she was one of the founding members of the firm’s e-Discovery Analysis and Technology (e-DAT) Group and was involved in the development of the Patterns document review software created by Attenex (now owned by FTI). She has many years of experience structuring and supervising projects involving all aspects of the discovery process, from custodian identification and retention; to collection, processing, review; and post-production litigation support. A frequent advisor to public and private organizations, she also assists in designing and implementing document retention systems and advising on litigation readiness.

Helen is a frequent speaker on e-discovery and related issues and is a longtime and active participant in The Sedona Conference?, and a member of the Advisory Board of the Association of Certified E-Discovery Specialists. In 2010, she founded Lex Aperta, which offers e-discovery legal advice and consulting.

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Michael Dicke

Partner, Securities Litigation/Co-Chair of the Securities Enforcement Group
Fenwick & West LLP

Michael Dicke is a partner in Fenwick’s litigation practice group and is the co-chair of the firm’s Securities Enforcement group. His practice focuses on conducting internal investigations for public company boards and audit committees, and the representation of public companies and their officers and directors in SEC, Department of Justice, and other law enforcement and regulatory investigations and litigation. He also represents investment advisers, hedge funds, private equity firms, broker-dealers, accounting firms, and financial institutions in SEC and DOJ investigations and proceedings.

In addition, Mike routinely advises clients on corporate governance and disclosure issues. Recently, he has advised several Fortune 500 companies on real-time disclosure issues following a data breach incident, and regularly provides guidance on the SEC’s increasing focus on cybersecurity regulation and enforcement. Also, Mike counsels investment advisers, hedge funds, private equity funds, and broker-dealers on compliance matters and in connection with examinations conducted by the SEC, FINRA, and other regulatory agencies.

Prior to joining Fenwick & West, Mike served as the Associate Regional Director for Enforcement in the SEC’s San Francisco regional office, from 2008 to 2014. As head of enforcement for the region, Mike oversaw all of the office’s attorneys and accountants in the investigation and litigation of federal securities law violations in Northern California, Oregon, Washington, Montana, Idaho and Alaska. While at the SEC, Mike conducted and supervised hundreds of investigations and litigation involving financial reporting and accounting fraud, the Foreign Corrupt Practices Act (FCPA), insider trading, offering frauds, and misconduct by investment advisers, investment companies, and broker-dealers. He is the recipient of the SEC’s Chairman’s Annual Award for Managerial Excellence as well as several Division Director Awards for work on significant cutting-edge cases. Upon joining Fenwick, the legal publication The Recorder noted that Mike brings to the firm “unmatched experience” in the field of securities enforcement.

During law school, Mike was Articles Editor and published author for the Minnesota Law Review. After law school, Mike clerked for Donald P. Lay, Chief Judge of the U.S. Court of Appeals for the Eighth Circuit. After his clerkship, and just prior to joining the Commission, Mike practiced for five years as a litigation attorney with a San Francisco law firm.

Mike has spoken annually at the SEC Institute (2005-2016) and is a frequent speaker on programs aimed at reaching public company executives and directors, in-house counsel and white collar defense attorneys. He has published articles in leading publications including Bloomberg and the Harvard Law School Forum on Corporate Governance. His recent articles include an opinion piece entitled “SEC Crackdown on ‘Fake News’ is Itself Fake News” (Bloomberg Law, April 2017).

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Lily Chinn

Managing Partner
Katten Muchin Rosenman LLP

Lily Chinn is the managing partner of the San Francisco Bay Area office and the co-chair of the Electronic Discovery and Information Governance practice. She is a litigator that has tried cases across the country. Her practice focuses on civil and criminal defense for environmental, workplace safety, and natural resources matters. As a former prosecutor in the US Department of Justice’s (DOJ) Computer Crimes and Intellectual Property Section and one of the founding co-chairs of the DOJ's Environment Division's E-Discovery Working Group, Lily also provides technologically savvy counsel to her clients on a wide range of issues related to electronic information.

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