When wrongdoing or misconduct occurs or is suspected within an organization, the organization (or an external governmental or regulatory body) will typically undertake an investigation to determine underlying facts: who, what , where, why and how.  Compliance professionals within the organization are often involved in -- and may even lead -- the investigatory process and the resulting disciplinary and remedial consequences. This course will examine the dynamics of internal investigations, the roles that compliance professionals may play in them, best practices, conduct to be avoided, and traps for the unwary.  Actual examples and hypothetical situations will guide the discussions. 

Eric Seltzer spent the first 10 years of his career as an attorney in the Enforcement Division of the United States Securities and Exchange Commission investigating and prosecuting violations of the federal securities laws, including insider trading, market manipulation and accounting fraud. Upon leaving the Enforcement Division, Eric spent the next ten years of his career as Deputy General Counsel at an international financial firm where he supervised a number of different legal areas, including internal investigations, regulatory, anti-money laundering and customer complaints. For the final nearly 20 years of his career, he was a partner and of counsel at two large, international law firms where he represented large, diversified financial firms and their employees in various regulatory and internal investigations, He also provided his clients with counselling regarding a.variety of compliance and internal control issues. Since retiring from the active practice of law at the end of 2018, Eric has been an adjunct professor of law at the University of Maine School of Law and he sits on the Board of Legal Services for the Elderly.  

For more information on the Compliance Program, visit https://mainelaw.maine.edu/compliance-program/