FREE TO ATTEND
- This program is under consideration for CPD credits IN ONTARIO AND BC
- CLE credit available in all US jurisdictions, pending final regulatory review
In Association With
OVERVIEW
Energy companies operate under one of the most complex and layered regulatory environments of any industry. When an investigation is launched — whether by FERC, the EPA, state utility commissions, the DOJ, or international equivalents — the in-house legal team is immediately at the center of the storm. Preparation, process, and privilege can make all the difference.
This session walks counsel through the anatomy of a regulatory investigation in the energy sector, from the first contact letter to final resolution, with a focus on the practical legal workflows that protect the company and its people.
themes + agenda
Key themes
- The Regulatory Landscape: Key agencies and their investigative authorities (FERC market manipulation rules, EPA enforcement, CFTC energy trading oversight, state commissions, and cross-border regulators); understanding which agency leads and when jurisdiction overlaps
- First Response Protocols: What to do in the critical first 48 hours: legal hold obligations, preserving privilege, coordinating with outside counsel, and managing internal communications
- Privilege and the In-House Counsel Role: Maintaining attorney-client privilege in an in-house setting while respecting regulatory requirements—what must be disclosed vs. what can be protected
- Document Management and E-Discovery: Building a defensible legal hold process; working with IT and records management teams; dealing with large volumes of operational data, SCADA records, and trading data
- Managing Internal Investigations: When to conduct a parallel internal investigation; protecting findings; interviewing employees; advising the board and senior leadership
- Government Cooperation and Resolution: The cooperation credit calculus; negotiating with regulators; consent orders, deferred prosecution agreements, and civil penalties; managing reputational risk
- Legal Workflow Integration: How technology (matter management systems, e-discovery platforms, regulatory tracking tools) can support a faster and more defensible investigation response
Featured speakers
IN ASSOCIATION WITH
