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.
1---2name: investigation-summary3description: Produces structured antitrust investigation summaries for executives and counsel. Triggers on FTC/DOJ probes, state AG investigations, foreign competition authority inquiries, merger investigations, CIDs, subpoenas, or dawn-raid responses.4---56# Antitrust Investigation Summary78Decision-ready antitrust investigation brief with evidence-linked chronology, legal theories, and business risk assessment.910## Quick Start1112Gather before drafting:13- Regulatory process documents (CIDs, subpoenas, Second Requests, notices)14- Internal investigation materials (interview memos, forensic reviews, privilege logs)15- Market data (shares, competitors, pricing, entry barriers)16- Public sources (press, filings, complaints, consent decrees)17- Current status (deadlines, productions, negotiations)1819## Workflow2021### 1. Build Key-Facts Table2223Populate and resolve gaps before drafting.2425| Field | Detail |26|---|---|27| Investigating Authority | Agency, division, lead office, contact(s) |28| Matter Type | Conduct, merger, or industry sweep |29| Alleged Conduct | Price-fixing, monopolization, exclusive dealing, etc. |30| Market Definition | Product and geographic market as asserted |31| Statutory Hooks | Sherman §1/§2, Clayton §7, FTC Act §5, state/foreign provisions |32| Initiation Trigger | Complaint, market study, HSR, dawn raid, etc. |33| First Notice Date | Date and instrument |34| Procedural Posture | Inquiry, formal investigation, litigation, appeal |35| Key Deadlines | Production dates, meetings, milestones |36| Exposure Signals | Penalties, remedies sought, damages claims |37| Remediation | Compliance changes, business changes |3839### 2. Draft Summary4041Use this template. Cite every factual assertion with `[source: <id>]`.4243```44ATTORNEY-CLIENT PRIVILEGED & WORK PRODUCT45CONFIDENTIAL — ANTITRUST INVESTIGATION SUMMARY4647**Executive Overview**48Agency:49Matter Type:50Alleged Conduct:51Market:52Current Status:53Immediate Decisions/Actions:5455**Chronology**56| Date | Event | Source | Notes |57|---|---|---|---|5859**Allegations & Legal Theories**60| Theory | Conduct | Market Definition | Statutes | Evidence |61|---|---|---|---|---|6263**Market & Industry Context**64- Market structure and shares:65- Key competitors:66- Barriers to entry:67- Industry dynamics or consolidation:6869**Procedural Status**70- Steps completed:71- Outstanding requests:72- Upcoming milestones:7374**Company Response**75- Cooperation posture:76- Privilege/objections asserted:77- Internal investigation steps:78- Remedial measures:7980**Outcomes / Scenarios**81- If closed: disposition and conditions.82- If ongoing: likely outcomes and timelines.8384**Risk Assessment**85| Risk Category | Exposure | Drivers | Mitigation |86|---|---|---|---|8788**Compliance Actions**89- Immediate controls:90- Medium-term enhancements:91- Training or policy updates:92```9394### 3. Multi-Jurisdiction Matters9596If multiple authorities are involved, create one subsection per authority and a consolidated risk section.9798## Pitfalls99100- **Allegations vs. facts**: Separate clearly; never speculate.101- **Missing data**: Flag with `[VERIFY]`, especially for uncertain statutes or foreign-law citations.102- **Exact references**: Use precise dates, agency names, and instrument titles — do not paraphrase.103- **Inferences**: Label explicitly and cite the underlying source.104- **Merger matters**: State the asserted theory of harm and any divestiture or behavioral remedy signals.105- **Parallel proceedings**: Include state AGs, EC, CMA, or other competition authorities as separate subsections.106- **Privilege headers**: Maintain `ATTORNEY-CLIENT PRIVILEGED & WORK PRODUCT` on every output.
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