Government Investigations Corporate Counsel

News & Analysis as of

Government Raids in Korea: What You Should Do When Faced with One

An on-site raid for evidence is a common tool for Korea’s enforcement authorities – particularly when the public prosecutor’s offices are taking the lead in high profile cases. This may surprise practitioners with US...more

"China and the Foreign Corrupt Practices Act"

Recent U.S. Department of Justice (DOJ) policies on corporate crime prosecutions, coupled with the Chinese government’s robust anti-corruption campaign, are proving challenging for U.S. corporations with business operations...more

House Subcommittee Pushes FTC Overhaul, Restricting Investigations and Consent Orders

In an effort to “reduce some of the ambiguous legal liability” that exists under Section 5 of the FTC Act, the House Energy and Commerce trade subcommittee advanced eleven legislative initiatives consolidated into four bills...more

Federal Court Allows the EEOC to Conduct Investigation on Employer’s Premises Without Employer Consent or a Warrant

Many employers are familiar with the fact that the EEOC regularly conducts on-site workplace investigations after receiving charges of discrimination or harassment. A recent federal court decision, however, may lead to an...more

SEC Issues Two Multi-Million Dollar Whistleblower Awards

Over the past week, the U.S. Securities and Exchange Commission (“SEC”) announced two multi-million dollar awards to whistleblowers who provided the SEC with information in ongoing investigations. On May 13, 2016, the...more

Government Access to Private Data: Microsoft Opens a New Front in the Battle for Consumer Privacy

Prior to the Information Age, sensitive papers were stored in file cabinets and drawers. When home computers arrived, information was digitized and moved to hard drives or other electronic media, still possessed by the user....more

DOJ’s New FCPA Enforcement Plan and Guidance (Part I of II)

The Justice Department finally released its long-awaited new FCPA enforcement plan. It took DOJ a little while to come up with this and in the end, like most initiatives, there is a mixed bag for global companies, FCPA...more

The Demise of Valeant Pharmaceuticals: A Case Study in Rotten Culture and Business Ethics

Showing my age again, Woody Allen’s Take the Money and Run included a hilarious scene when Woody’s parents wearing Groucho Marx glasses talk about their criminal son (Woody/Virgil Starkwell), his dad exclaimed “He’s rotten,...more

Federal Counterpart to New York’s Investigation of Climate Change Disclosures by Fossil Fuel Companies

Recently, three House Democrats urged the Department of Justice (DOJ) to launch an investigation of an alleged conspiracy by the fossil fuel industry to deceive the public on climate change in order to benefit the sale of its...more

Opening The Vault – The EEOC’s New Position On Handing Over Position Statements To Charging Parties

With little fanfare, the EEOC quietly announced on February 18, 2016 its adoption of new “Nationwide Procedures for Releasing Respondent Position Statements and Obtaining Responses from Charging Parties.” Importantly, the...more

A Primer on Competition Investigations in Canada

The Competition Bureau just telephoned. They have started an "inquiry". Your company is about to receive a "section 11 Order". What's happening, and what's next?...more

Want the government to give you credit for cooperating with their investigation? Get ready to certify your investigation...

Late last week, the Wall Street Journal reported that the US Department of Justice's (DOJ's) fraud section is developing a process for settling companies to certify that they have disclosed fully all information about...more

New Ninth Circuit Decision Clarifies Standard for Pleading Loss Causation in Securities Cases

The United States Court of Appeals for the Ninth Circuit recently answered a question explicitly left open by its earlier precedent: Can the announcement of an SEC investigation form the basis for a viable loss causation...more

Brother Can You Spare Some (Compliance) Advice?

Usually I have Houston professional sports teams to hold high as example of true bone headedness around compliance issues. However, as my beloved Houston Astros took the World Series Champions, KC Royals, to the 7th inning of...more

A New Trend? NY AG Settles First Climate Change Disclosure Case

New York Attorney General Eric T. Schneiderman may be leading the way again. In the past the office has lead ground breaking investigations using New York’s Martin Act that presaged significant SEC investigations and actions....more

DOJ Sharpens Focus on Corporate Compliance in Deciding Whether to Prosecute Companies

One of the factors that the U.S. Department of Justice (DOJ) considers in deciding whether to bring charges against a corporation is the existence and effectiveness of the corporation’s pre-existing compliance program. On...more

Australian Anti-Bribery & Compliance Trends

Today we welcome Ted Williams, Partner, Piper Alderman. Ted, can you share some of your background and experience? TW: Thank you, Richard, for the opportunity to engage with your community, and it was a pleasure to...more

Justice Department Charges Pharma President with Kickback Conspiracy

In the public relations battle following the issuance of the Yates Memo, the Justice Department can now cite one example for the new policy – the recent arrest and charging of Carl Reichel, former President of Warner...more

When The Government Comes Knocking: Maximizing Insurance Coverage for Government Investigations

As many readers will know, a government investigation can begin with something as seemingly innocuous as an email from a governmental agency to a company’s general counsel asking for information, or as attention-grabbing as a...more

Department of Justice Mandate: Prosecute Individuals for Corporate Wrongdoing

On September 9, 2015, Sally Quillian Yates, the Deputy Attorney General of the U.S. Department of Justice (DOJ), issued a directive to the leaders of the divisions of the DOJ and to U.S. Attorneys to combat corporate fraud by...more

Solicitor-Client Privilege: The Quebec Securities Regulator Can Summon In-House Counsel to Testify in an Investigation

On July 16, 2015, the Supreme Court of Canada (SCC) denied leave to appeal to an in-house counsel (referred to as Ms. X to protect her identity) in the case of X v. Autorité des marchés financiers. The SCC thus maintained the...more

Are Public Companies Required to Disclose that the Government is Investigating Them?

For many public companies, the first issue they have to confront after they receive a government subpoena or Civil Investigative Demand (“CID”) is whether to disclose publicly that they are under investigation. Curiously, the...more

Fifth Circuit Fires at the Department of Labor with Colorful, Precedential Prose

The Fifth Circuit Court of Appeals recently slammed the United States Department of Labor with a finding of abusive conduct and ordered an award of significant monetary sanctions for bad faith, harassment, and abusive...more

Financial Industry Compliance: Enforcement Challenges in the US and Europe

“If you look at the landscape pre-financial crisis, i.e. in 2006-2007, compliance looked very different than it does now,” said Latham & Watkins partner Dr. Finn Zeidler. “In the meantime, compliance in the financial services...more

A Deeper Dive: Regulatory Investigations Following a Reported Breach

In our inaugural Data Security Incident Response Report (the Report), we found that regulators inquired about a company’s breach 31% of the time and multi-state state Attorneys General investigations were launched less than...more

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