Investigations and Enforcement Flashcards
7 cards from real CCEP practice questions. Tap to flip, then mark Knew It or Still Learning — missed cards come back until you master them.
Read the first 7 Investigations and Enforcement flashcards as text
Which factor most strongly indicates that an internal investigation requires escalation to outside counsel?
Answer: The matter involves potential criminal liability or government inquiry
Potential criminal liability or a government inquiry significantly raises legal complexity, warranting involvement of outside counsel.
Under the Upjohn warning, employees being interviewed during an internal investigation must be informed that:
Answer: The attorney represents the company, not the employee personally
An Upjohn warning clarifies that corporate counsel represents the company, so the employee understands attorney-client privilege belongs to the company.
What is the primary purpose of maintaining a chain of custody during an investigation?
Answer: To document who handled evidence and when, preserving its integrity
Chain of custody documentation ensures evidence is handled properly and can be authenticated as unaltered if used in legal proceedings.
A compliance officer discovers that a manager retaliated against an employee who reported misconduct. What is the most appropriate immediate action?
Answer: Address the retaliation through HR and escalate to senior leadership or legal
Retaliation undermines the compliance program; it must be promptly addressed through HR and escalated to prevent further harm and legal exposure.
Which of the following best describes 'prosecutorial discretion' as it applies to corporate enforcement?
Answer: A government agency's authority to decide whether and how to pursue charges
Prosecutorial discretion refers to the government's authority to decide whether to bring charges, what charges to bring, and how aggressively to pursue a case.
What is a 'deferred prosecution agreement' (DPA) in corporate enforcement?
Answer: An agreement suspending prosecution if the company meets specified conditions over a period of time
A DPA suspends prosecution contingent on the company fulfilling obligations such as paying penalties, cooperating, and improving compliance programs.
Which element of cooperation credit does the DOJ most emphasize when evaluating corporate self-disclosure?
Answer: Voluntary disclosure before government investigation begins
Voluntary self-disclosure before a government investigation is a key factor the DOJ considers when awarding cooperation credit and reduced penalties.