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D.C. Appeals Court Upholds Privilege For Internal Investigation Preceding False Claims Act Litigation

The KBR decision should not be interpreted as a sign that internal investigations of regulatory compliance are privileged per se. Companies should keep the following principles in mind when conducting any internal...more

Corporate Criminal Liability – Interview with Bridget Rohde, Member, Mintz Levin [Video]

Attorney Bridget Rohde, Member of Mintz Levin's Litigation Practice, discusses corporate criminal liability for the actions of employees and how companies can protect themselves....more

Court Decides Employer Had No Obligation To Pay Employee’s Attorney

Mention indemnification to a corporate lawyer, and you’re like to hear about Section 317 of the Corporations Code, the articles of incorporation and bylaws. But a corporate agent’s indemnification rights are not necessarily...more

EEOC Cracking Down on Use of Criminal Background Checks

EEOC Cracking Down on Use of Criminal Background Checks by Robert Levy on August 13, 2013 The Equal Employment Opportunity Commission (EEOC) is cracking down on how employers use criminal background checks during the...more

Brazil’s New Clean Companies Act Continues Global Fight Against Corruption

After years of legislative limbo, and in response to growing social unrest, on Friday, August 2, 2013, President Dilma Rousseff signed into law the Clean Companies Act (the “Act”)—Brazil’s first sweeping anti-corruption law...more

Compliance Communicator: July 2013

Memo to Managers - Insider Trading Misconception - A common misconception among employees is that insider trading is only an issue for senior executives, because employees at lower levels don’t have access to...more

The Floodgates are Open: Second Whistleblower Award Sparks Speculation Over What's Next

Last week, the Securities and Exchange Commission (SEC) issued an order awarding three whistleblower awards to tipsters who helped the SEC with its enforcement action against Locust Offshore Management, LLC and its CEO Andrey...more

Go Directly to Jail - Directors & Unpaid Wages

The liability of officers and directors of corporations for unpaid wages to employees is not a new concept. The Employment Standards Act, 2000 (ESA) in Ontario also provides for fines that can certainly drive the intended...more

Investigative crises: surviving until help arrives

The first minutes and hours after the government executes a search warrant, serves a subpoena, or otherwise lets you know you’re under investigation can be critical in determining the investigation’s eventual outcome. A...more

Using the Privilege: Fifth Amendment Fundamentals for Corporations

Most in-house lawyers, if they're fortunate, haven't bumped up against the Fifth Amendment and its related issues since the bar exam. After all, the so-called "nickel" typically arises solely in the criminal context, and...more

They Are Back, Although They Never Really Left, thebriberyact.com Guys

Unlike that fabulous song-writing team of Lennon and McCartney, these two guys promised that they would be back and from what we have seen over the past few weeks, they have kept to their collective word. Yes, those two...more

Third Circuit Reinforces Limits to Directors' Exposure for Misconduct by Corporate Employees

In Belmont v. MB Investment Partners, Inc., No. 12-1580, 2013 WL 646344 (3d Cir. Feb. 22, 2013), the United States Court of Appeals for the Third Circuit held that a mere failure by corporate directors to oversee enforcement...more

Socio-Economic and Cultural Risk Factors That Drive Corruption”: A Focus on the ‘Demand Side’ of the Equation

Yesterday we discussed Occupational Fraud and how, according to the ACFE, survey participants estimated that the typical organization loses 5% of its revenues to fraud each year. Applied to the 2011 Gloss World Product, the...more

Occupational fraud involves a personal breach of trust

Ed. Note-today we are pleased to begin a three part guest series from our colleague Mary Shaddock Jones. My husband, Brian R. Jones, is a CPA, a Certified Fraud Examiner and a member of the Association of Certified...more

Corporate Law Report: Economic Espionage Act, Top FCPA Enforcement Actions, Trademark Audits, and More  [Video]

Watch our latest Corporate Law Report for a round of executive speed dating, law firm style. Included in the mix: FICA tax changes in 2013; veganism as a religion (and what that means for the workplace); overtime hours;...more

Why Status Matters

The UK Court of Appeal recently decided that a law firm partner was not a “worker” of the firm. The partner could not, therefore, bring a whistleblowing claim against the firm after she was dismissed from the partnership...more

Insider Trading: What Happens When the Victim Says That There Was No Crime?

Under the “misappropriation theory” of insider trading, a person violates the securities laws by breaching a fiduciary duty to keep information confidential. But what happens when the entity to whom the fiduciary duty was...more

White Collar Watch - September 2012

IN THIS ISSUE: - Government Contractor Indictments Provide Reminder of Importance of Strong Workplace Policies, Training and Enforcement pages 1 - 2 - Winter Olympics in Russia Set Stage for FCPA Scrutiny pages 2...more

Directors’ Liability for Safety: Not just Small-Company Directors are at Risk in Ontario

In an unusual development, a director of a medium-sized company has been personally found guilty and fined under the Occupational Health and Safety Act. The company’s Internet site states that its field personnel include a...more

How To Avoid Criminal Liability For Errant Employees

Originally published in Law360, New York (September 07, 2012, 1:30 PM ET) A corporation is vulnerable to criminal exposure for illegal acts of its employees. If a corporation ultimately avoids prosecution for fraud or...more

Reforming the Respondeat Superior Doctrine

The debate surrounding FCPA enforcement and a compliance defense should be expanded to focus on the real issue at play – corporate criminal liability under the doctrine of respondeat superior. The Chamber of Commerce has...more

HSR and Jail Time? The Importance of Being Earnest, and Getting Corporate Internal Investigations Right

Corporate and in-house counsel not accustomed to dealing with white collar defense issues can put themselves and their clients at risk when dealing with bad actors within the company. A routine merger investigation gone wrong...more

After Metron: The Corporate Criminal Liability Landscape in Canada

On December 24, 2009, at approximately 4:30 p.m., a swing stage collapsed on a construction project at 2757 Kipling Avenue, Toronto. At least six workers were on the stage at the time of the collapse. Five of them fell...more

Best Practices When Launching an Internal Investigation (Part I of II)

I thought I would take two posts to examine best practices for initial stages of internal investigations: Part I examines the launch of an internal investigation. Part II examines initial internal investigation plans....more

Most Corporations Plead Guilty to OHSA Charges; Most Supervisor / Worker Charges Withdrawn

An FMC study of unpublished Ontario Ministry of Labour data has shown that 68% of corporations charged under the Ontario Occupational Health and Safety Act pleaded guilty to one or more charges and 26% of corporations had all...more

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