Individual Executive Defense

What this covers

I act for individual executives in investigations by the US Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) under the Foreign Corrupt Practices Act (FCPA). They are usually Indian nationals, or executives based in India, of US-listed or US-affiliated companies. The work also covers internal investigations run by the employer’s outside counsel, grand jury subpoenas, and SEC civil and administrative proceedings.

In FCPA matters, the interests of an executive and the employer can diverge, and when they do, the executive needs separate counsel whose only client is the executive. I can run a privileged investigation for the executive, and coordinate with the company’s counsel only as far as the executive’s interests allow. Where a matter goes to court in the US, I work alongside trial counsel admitted in that court.

An engagement can cover:

• a privileged investigation and an account of the facts for the executive;
• preparation for interviews, depositions and testimony;
• document review and production strategy;
• coordination with US trial counsel and with the company’s outside counsel; and
• coordination on related inquiries in India, for example by the Central Bureau of Investigation (CBI), the Enforcement Directorate (ED), the Serious Fraud Investigation Office (SFIO), the National Financial Reporting Authority (NFRA) or SEBI.

An engagement starts with where the matter stands and where the exposure sits, in the US and in India. If you, or an executive you advise, are facing an inquiry of this kind, do reach out and I will take a look.