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Kathleen A. Kordek Senior Vice President & Associate General Counsel

Managing Internal Investigations. Kathleen A. Kordek Senior Vice President & Associate General Counsel Branch Banking and Trust Company (BB&T). Managing Internal Investigations. BB&T (Branch Banking and Trust) - One of the ten largest U.S. financial institutions

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Kathleen A. Kordek Senior Vice President & Associate General Counsel

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  1. Managing Internal Investigations Kathleen A. Kordek Senior Vice President & Associate General Counsel Branch Banking and Trust Company (BB&T)

  2. Managing Internal Investigations BB&T (Branch Banking and Trust) - One of the ten largest U.S. financial institutions - $174.8 billion in assets and $21.9 billion in market capitalization - Approximately 1800 financial centers in 12 states and D.C. - Approximately 32,000 employees

  3. Managing Internal Investigations • Process • One hotline • Third party intake • Referrals to proper handler • Case management system • Record retention

  4. Managing Internal Investigations Departments Involved - HR = Owner of process - HR refers to Legal if SEC - HR refers to Audit if SOX - HR handles remainder, involving Key Players plus Corporate Investigations, as needed - Case management system used for consistency and for record-keeping - Quarterly and annual review of types and trends

  5. Managing Internal Investigations Other Considerations - Two-person rule -Interviewer - Scribe - File handling - Attorney Client Privilege

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