Legal Investigation Quiz

What is the purpose of a subpoena in an investigation?

• To allow entry into a location to seize documents

• To compel testimony and the production of documents

• To commence legal proceedings

• To invalidate privileged communications

Which of the following is NOT typically allowed by a search warrant?

• Entry to seize evidence

• Arrest of a suspect

• Inspection of client-attorney privileged documents

• Seizure of specific items

Which of the following steps should be taken when initiating an internal investigation?

• Notify all employees immediately

• Review internal control failures

• Destroy potentially damaging evidence

• Publicize the investigation

What should be done after receiving a search warrant?

• Ask for the accompanying affidavit

• Refuse entry without legal counsel present

• Notify all employees immediately

• Disclose to the media

When can assets be frozen by a financial institution?

• When instructed by law enforcement

• Upon receiving legal counsel's request

• Following a verbal request from a client

• At any time, without justification

What is the role of a financial intelligence unit (FIU)?

• To prosecute financial crimes

• To share information between jurisdictions

• To conduct financial audits

• To issue search warrants

What three steps should an institution take when responding to a law enforcement investigation?

• i. Respond thoroughly ii. Challenge the request in court iii. Establish a single point of contact iv. Notify senior management

• i, ii, iv

• i, iii, iv

• i, ii, iii

• ii, iii, iv

Which of the following is a correct response to a subpoena?

• Notify the media

• Challenge it immediately

• Review the request with legal counsel

• Delay the response

What should be avoided during an internal investigation?

• Collecting all relevant documentation

• Destroying incriminating evidence

• Engaging external counsel

• Interviewing relevant employees

What is a "commission rogatoire"?

• A court order to freeze assets

• A letter requesting cooperation from a foreign authority

• Permission to disclose privileged information

• A document to compel testimony