casemark/investigation-summary

Antitrust Investigation Summary

Decision-ready antitrust investigation brief with evidence-linked chronology, legal theories, and business risk assessment.

Quick Start

Gather before drafting:

• Regulatory process documents (CIDs, subpoenas, Second Requests, notices)
• Internal investigation materials (interview memos, forensic reviews, privilege logs)
• Market data (shares, competitors, pricing, entry barriers)
• Public sources (press, filings, complaints, consent decrees)
• Current status (deadlines, productions, negotiations)

Workflow

1. Build Key-Facts Table

Populate and resolve gaps before drafting.

| Field | Detail | |---|---| | Investigating Authority | Agency, division, lead office, contact(s) | | Matter Type | Conduct, merger, or industry sweep | | Alleged Conduct | Price-fixing, monopolization, exclusive dealing, etc. | | Market Definition | Product and geographic market as asserted | | Statutory Hooks | Sherman §1/§2, Clayton §7, FTC Act §5, state/foreign provisions | | Initiation Trigger | Complaint, market study, HSR, dawn raid, etc. | | First Notice Date | Date and instrument | | Procedural Posture | Inquiry, formal investigation, litigation, appeal | | Key Deadlines | Production dates, meetings, milestones | | Exposure Signals | Penalties, remedies sought, damages claims | | Remediation | Compliance changes, business changes |

2. Draft Summary

Use this template. Cite every factual assertion with [source: <id>].

ATTORNEY-CLIENT PRIVILEGED & WORK PRODUCT
CONFIDENTIAL — ANTITRUST INVESTIGATION SUMMARY

**Executive Overview**
Agency:
Matter Type:
Alleged Conduct:
Market:
Current Status:
Immediate Decisions/Actions:

**Chronology**
| Date | Event | Source | Notes |
|---|---|---|---|

**Allegations & Legal Theories**
| Theory | Conduct | Market Definition | Statutes | Evidence |
|---|---|---|---|---|

**Market & Industry Context**
- Market structure and shares:
- Key competitors:
- Barriers to entry:
- Industry dynamics or consolidation:

**Procedural Status**
- Steps completed:
- Outstanding requests:
- Upcoming milestones:

**Company Response**
- Cooperation posture:
- Privilege/objections asserted:
- Internal investigation steps:
- Remedial measures:

**Outcomes / Scenarios**
- If closed: disposition and conditions.
- If ongoing: likely outcomes and timelines.

**Risk Assessment**
| Risk Category | Exposure | Drivers | Mitigation |
|---|---|---|---|

**Compliance Actions**
- Immediate controls:
- Medium-term enhancements:
- Training or policy updates:

3. Multi-Jurisdiction Matters

If multiple authorities are involved, create one subsection per authority and a consolidated risk section.

Pitfalls

• Allegations vs. facts: Separate clearly; never speculate.
• Missing data: Flag with [VERIFY], especially for uncertain statutes or foreign-law citations.
• Exact references: Use precise dates, agency names, and instrument titles — do not paraphrase.
• Inferences: Label explicitly and cite the underlying source.
• Merger matters: State the asserted theory of harm and any divestiture or behavioral remedy signals.
• Parallel proceedings: Include state AGs, EC, CMA, or other competition authorities as separate subsections.
• Privilege headers: Maintain ATTORNEY-CLIENT PRIVILEGED & WORK PRODUCT on every output.