Government Investigations

News & Analysis as of

No “Loos” Causation From Mere Announcement Of Internal Investigation

Securities fraud actions are often filed on the heels of an announcement of an internal or SEC investigation. A recent Ninth Circuit decision, Loos v. Immersion Corp., may make it easier for company executives to sleep at...more

Beyond Switzerland: Preparing for the Fallout from FATCA and Other Global Transparency Initiatives

You have implemented FATCA; what comes next? Will your company be the next witness in a US tax investigation? Financial institutions around the world must now prepare to respond to anticipated inquiries and investigations as...more

Internal Investigations: Soup to Nuts (March 13, 2014) [Video]

More and more companies need to conduct internal investigations as an important strategy to protect the company against serious government investigations. Not all internal investigations have to be conducted in the same way....more

AML BSA and Sanctions Compliance I of II June 10 2014 [Video]

The Department of Justice and the Treasury Department have stepped up AML/BSA and Sanctions Enforcement. With the ever-increasing expansion and modification of sanctions, risks for all businesses, not just financial...more

10 Tips for Responding to a False Claims Act Investigation

An increase in government investigations and enforcement actions under the False Claims Act (FCA) and other federal laws can subject healthcare organizations, financial services firms, government contractors and others to...more

Data Retention in the EU

I don’t often write about data protection, as it’s at the periphery of what I do. But two things prompted me to do so: First, there’s a new Banksy mural in Cheltenham that depicts spying. Second, the Grand Chamber of the CJEU...more

Hart-Scott-Rodino 2013 Annual Report: Filings Decreased, Transactions Investigated Increased and Enforcement Continues for...

On May 21, 2014, the Federal Trade Commission and the Department of Justice published the Hart-Scott-Rodino Annual Report Fiscal Year 2013 (for the period from October 1, 2012 to September 30, 2013). The Annual Report...more

Expanding Liability for Audit Committee Members

When one considers the corporate bureaucracy designed to ensure good corporate citizenship, the audit committee stands out. No committee of the board has the broad ranging purview of the audit committee, and those powers and...more

Surviving in an Age of Individual Accountability: How Much Protection Do Indemnification and D&O Insurance Provide?

We consider below how advancement of legal fees, indemnification, and insurance operate when officers and directors become involved in regulatory investigations and proceedings. Part I addresses the enhanced risk officers and...more

FERC Sets Enforcement Case Against BP for Hearing, Takes Expansive View of Jurisdiction to Enforce Anti-Manipulation Rule

In an order issued on May 15, 2014 that takes a broad view of its jurisdiction over conduct that allegedly violates the Natural Gas Act’s (NGA) prohibition against market manipulation, the Federal Energy Regulatory Commission...more

Sexual Harassment Training is Just One Component of Protecting Your Business: Remember CONSENT

If the EEOC called you today and said they were coming over to investigate how you handle complaints of sexual harassment and sexual violence, how would you feel? Is sweat beading on your brow just thinking about it?...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

Obama Administration Releases Names of Colleges and Universities Facing Sexual Assault Investigations

On May 1, the U.S. Department of Education released the names of 55 colleges and universities being investigated for their handling of sexual assault complaints. This public release of a comprehensive list of colleges under...more

7 Tips For Handling A FINRA Investigation Of A Financial Advisor

Facing an examination or investigation by the Financial Industry and Regulatory Authority (FINRA) can be a stressful and intimidating experience for even the most seasoned financial advisor. Understanding the oversight role...more

SEC Reportedly Investigating CalPERS’ Stock Trades

In October 12, 2012, I wrote about CalPERS’ proposed adoption of regulations governing personal trading by members of its Board of Administration and employees. Although I did offer a few technical comments on the proposed...more

Do Your Employees Have the Proper Legal Training When It Comes to Government Investigations or Inquiries?

There is a general understanding that the Fifth Amendment to the U.S. Constitution gives a person the right not to incriminate him- or herself, and that understanding comes, in large measure, from movies and television...more

Impact of Chinese Telecommunications Companies on U.S. Supply Chains

On October 8th, the U.S. House of Representative’s Intelligence Committee issued an investigative report (the “Report”) on issues related to the operations of Huawei Technologies Company Ltd. and ZTE Corporation. The Report...more

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