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Joint-Defense and Common-Interest Agreements in Government Investigations: Best Practices for In-House Counsel to Retain Privilege...

Introduction - Your company is under investigation by the government. As part of the investigation, the government subpoenaed an employee for testimony. The employee retained a lawyer (separate from your company’s outside...more

Recent DOJ Guidance on Corporate Compliance, Cooperation, and Compensation

Introduction - Over the first quarter of this year, the Department of Justice announced notable policy changes for corporate compliance programs. These policy changes are particularly relevant to in-house counsel who may...more

DOJ’s First Cyber-Fraud Settlement Places Emphasis on Cybersecurity Shortfalls

Last year, the Department of Justice (DOJ) unveiled its Civil Cyber-Fraud Initiative, intended to ensure compliance, by leveraging the False Claims Act (FCA), with contractual cybersecurity requirements applicable to...more

DOJ Unveils New Initiative to Pursue Cybersecurity-Related Fraud by Government Contractors and Grant Recipients

Introduction - Earlier this month, the Department of Justice (DOJ) announced the launch of its Civil Cyber-Fraud Initiative, aimed to combat cyber threats to the security of U.S. infrastructure. The initiative combines the...more

New DOJ Enforcement Team Suggests DOJ May Take Additional Efforts to Recover Cyberattack Ransoms

On October 6, the U.S. Department of Justice (DOJ) announced the launch of a National Cryptocurrency Enforcement Team (NCET) to add structure to and coordinate the DOJ’s investigative capabilities concerning unlawful uses of...more

Record-Breaking SEC Whistleblower Awards Signal the Need for Robust Anti-Retaliation Policies

Introduction - Last year saw a significant increase in whistleblower reports to the Securities and Exchange Commission (SEC). The SEC reportedly received 35% more tips, complaints, and referrals for investigation between...more

More Aggressive Enforcement Sprouts at SEC

The SEC has restored the authority of senior Division of Enforcement officials to initiate investigations without requiring approval by the SEC. This authority was originally established in 2009, but later revoked in 2017. On...more

Maintaining Privilege: A Refresher on Attorney-Client Privilege for the Remote-Work Environment

Corporate counsel and their clients exchange confidential communications daily. Included in these exchanges are assumptions about what is and what will remain attorney-client privileged. For in-house counsel, communications...more

CARES Act Provider Relief Funding: Think Before You Deposit

Be careful. If you are a health care provider who recently received a massive check from the federal government — without asking for it — and are wondering whether to deposit the check in your bank account, you need to pause...more

Five Steps to Minimize the Risk of Future FCA Investigations and Enforcement Actions Stemming From COVID-19 Stimulus Funding

Following past national economic emergencies, the government and whistleblowers have initiated federal False Claims Act actions against recipients of government funding....more

Federal and State Officials Launch Joint Efforts to Investigate and Prosecute Fraud Related to the Coronavirus

As the coronavirus pandemic affects the normal way of life across the country, federal prosecutors and investigative agencies have begun establishing initiatives to investigate and combat fraudulent schemes related to the...more

SEC Now May Consider a Simultaneous Settlement Offer and Waiver Request

Certain “bad actors” who settle with the SEC may be subject to automatic disqualifications or collateral consequences under federal securities laws and regulations. The Commission, however, may grant a settling party’s...more

US v. AseraCare: Eleventh Circuit Holds That Contradictory Clinical Judgments Alone Cannot Trigger FCA Liability

In a long-awaited decision, the Eleventh Circuit concurred with the lower court’s standard for determining falsity under the False Claims Act (FCA) — reasonable disagreement between medical experts alone is not enough to...more

Honeycutt v. United States: Mandated Criminal Asset Forfeiture Receives Clear Limitation — Joint and Several Forfeiture Liability...

Introduction - On June 5, the United States Supreme Court issued a unanimous opinion in Honeycutt v. United States, No. 16-142, 581 U.S. ___ (2017), narrowing the scope of federal criminal asset forfeiture for drug...more

Home Depot Cyber Derivative Action Shuttered: Another Data-Breach Derivative Suit Fails to Clear Fundamental Corporate Law Hurdles

The recent dismissal of a Home Depot derivative action ends a string of high-profile derivative suits stemming from large-scale corporate data breaches. On November 30, the Northern District of Georgia dismissed a shareholder...more

Whistleblowers on Campus: DOJ Adds Research Universities to its False Claims Act Focus

Federal funding is the grand prize for higher education research institutions. Each year, the federal government pumps hundreds of millions of dollars in research grants and awards into the university system. These funds are...more

Collaboration Key to Combatting Cyber Threats: Federal Government Issues Final Guidance Clarifying Liability Protection for...

On June 15, the Department of Homeland Security (DHS) and the Department of Justice (DOJ) jointly issued final guidance on how the private sector and government will communicate cyber threat data and defensive measures under...more

Share What You Know: Liability Protection for Private Entities that Share Cybersecurity Information Pursuant to Federal Guidelines

On February 16, the Department of Homeland Security (DHS) and the Department of Justice (DOJ) jointly issued preliminary guidance — with final guidance due later this month — on how the private sector and government will...more

Avoiding a Messy Break-Up: How a Firm’s Investigation Can Deflect a Financial Advisor’s Form U-5 Defamation Claim

Breaking up is hard to do. In the investment industry, it can be even harder because one half of the couple needs to publish the reasons for the break-up. When a registered representative separates from a broker-dealer...more

In Flannery v. SEC, First Circuit Rebukes Commission, Signals Departure from Deferential Review

On December 8, 2015, the U.S. Court of Appeals for the First Circuit ruled in Flannery v. SEC that the Securities and Exchange Commission lacked substantial evidence in finding securities law violations by two executives in...more

New Federal Law Protects Companies that Share Cyber Threat Information

On December 18, the President signed into law as part of the federal omnibus government spending package a number of cybersecurity provisions, most notably the “Cybersecurity Information Sharing Act of 2015” (CISA). CISA...more

Flawed Auctions and Buy-Side Conflicts: Financial Advisor Liability for Aiding and Abetting Breach of the Duty of Care in RBC...

On November 30, 2015, the Delaware Supreme Court affirmed a Court of Chancery decision holding a financial advisor liable for almost $76 million in damages for aiding and abetting corporate directors in breaches of fiduciary...more

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