Confidential Information Internal Investigations

News & Analysis as of

Suspicious Activity Reports: Why They Matter

The Bank Security Act (BSA) states that financial institutions have an obligation to aid law enforcement in identifying suspicious financial transactions through what is known as a Suspicious Activity Report (SAR). As banking...more

Internal Investigations and Privilege: A Redux

An internal investigation into a workplace accident was privileged, and thus protected from disclosure, the Alberta Court of Queen’s Bench recently held in Alberta v Suncor Energy Inc, 2016 ABQB 264 [Suncor]. The Court found...more

Internal Investigative Reports That Lead to Discipline Are Not Exempt Adjudicatory Records under FOIA

An Illinois Appellate Court has further limited the public records that a public body can withhold from disclosure under Section 7(1)(n) of the Freedom of Information Act, which exempts “records relating to a public body’s...more

Expanded Protections for Documents Developed in the Course of Internal Investigations and Located at the Client’s Business...

A ruling by the Regional Court (Landgericht) of Braunschweig published late last year has strengthened the protections of confidential information gained or developed in the course of internal investigations....more

Dismissal for Sharing Confidential Information Was Unfair

In Stimpson v Citibank N.A. ET/3200437/15, Mr Stimpson brought claims for unfair and wrongful dismissal after being dismissed without notice by Citibank N.A. (Citi) for an alleged breach of Citi’s policies on confidential...more

Best Practices: Keeping Corporate Communications Professional And Out Of The Courtroom

Corporate communications occur primarily electronically. It is important for companies to ensure these communications stay where they belong — within the company, not broadcast in a courtroom where a judge or jury can inject...more

And The Beat Goes On… The NLRB's Attack on Confidentiality Continues

Many employers believe they have the absolute right to prohibit their workers from disclosing “confidential” information to coworkers and third parties. They are dead wrong. The National Labor Relations Board (NLRB) has...more

Trusting Human Resources: A Fantasy or a Necessity?

A few weeks back, one to the best bloggers you may not be reading — Robin Shea — posted about the scathing press that Amazon had been receiving about its workplace and posed this question: Can Employees Trust Human Resources?...more

Corporate Investigations & White Collar Defense - September 2015

No Dog Days of August for the SEC—A Recap of a Busy Month - Why it matters: Who says there is a government slowdown in August? Not for the SEC. August 2015 turned out to be very busy indeed for the agency, which...more

Is Hong Kong Doing Enough for Whistleblowers?

There is currently no specific statutory legislation offering protection from retaliation for whistleblowers in the workplace in Hong Kong. Protections are not far reaching, and not purposedesigned to deal with whistleblowing...more

United Kingdom: handling internal investigations

With so much potentially at stake, the initial steps and strategic decisions taken in any company investigation are critical to setting the tone for a focused, credible and effective inquiry. This is paramount not only for...more

Cooperation, the SEC and FOIA

A critical part of cooperating with an SEC or DOJ investigation for FCPA or other possible violations is the production of documents. In order for the company to assess what happened it must conduct an internal investigation...more

NLRB Limits Confidentiality in Workplace Investigations

In two decisions issued on June 26, the National Labor Relations Board overruled its longstanding precedent holding that employers may withhold witness statements from requesting unions and further held that general policies...more

Can You Keep a Secret? The SEC Says to Ask Carefully

Employers have a lot to be worried about. Employees are given access to trade secrets, customer lists, financial accounts, and other highly sensitive, confidential information. Most employers attempt to deter improper use of...more

"Balancing Protection of Information With Employee Rights in Confidentiality Policies"

The developing law on employer confidentiality policies underscores the tension between an employer's ever-increasing need to protect confidential information and an employee's established right to discuss terms and...more

Delaware Supreme Court Extends Shareholder Books and Records Inspection Rights to Privileged Internal Investigation Documents

A recent decision of the Delaware Supreme Court approved granting shareholders the right to inspect privileged and confidential internal investigation materials upon showing “good cause.” Directors and general counsels should...more

Careful Measures May Be Needed to Protect Privileged Internal Investigative Materials

In March, the U.S. District Court of the District of Columbia ordered defense contractors Kellogg Brown and Root Inc. and Halliburton’s (“KBR”) legal department to produce internal investigative reports that KBR contended...more

Adopting A Vision: Putting The Pieces Together (Part II of IV)

People need a vision to inspire them. I know this sounds corny but I always used this motto as a motivational tool. If you can see the goal, then you can figure out a way (or ways) to achieve the goal. If you conduct a set...more

Lift-Off: Step-By-Step Procedures To Start An Internal Investigation (Part I Of IV)

Life is filled with consequences. As our parents told us (and we repeated to our own children), “Your decisions have consequences.” I am a bit reluctant to start a blog series on internal investigations with a...more

NLRB Takes Aim at Non-Union Employers

The National Labor Relations Board (NLRB) recently handed down a series of decisions that challenged the fundamental tenet of the employee-employer relationship: at-will employment. This new affront came on the heels of a...more

Planning For When Things Go Wrong: Are You Ready To Investigate Allegations Of Board Member Misconduct?

Let us start our discussion with an area of broad consensus: A company’s board of directors has a duty of care to respond to and investigate allegations of wrongdoing by officers and/or employees of the company. But what...more

The National Labor Relations Board 2012 Year in Review

Introduction - Wow, 2012 was quite the year for the National Labor Relations Board (“Board”)! Last year, we discussed the Board’s agenda, which at the time we described as aggressive, but with the benefit of...more

Did You Know…Blanket Confidentiality Requirements Regarding Employment-Related Investigations Violate Section 7 of the NLRA

As part of its current campaign to take more aggressive positions regarding policies applicable to nonunion workers, the National Labor Relations Board recently ruled that a human resources consultant’s routine practice of...more

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