Government Investigations Corporate Counsel

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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

Taking the Rolls Out for a Spin? Maybe You Should Avoid Brazil

Just as the GlaxoSmithKline PLC (GSK) case in China heralded a new day in international anti-corruption enforcement, the Petrobras case may be equally important going forward. The scope and breadth of the investigation is...more

Despite settlement, EEOC continues and expands discrimination investigation

At this point, employers have become all too familiar with the new, aggressive enforcement agenda of the Equal Employment Opportunity Commission. The agency’s systemic initiative to root out alleged discriminatory employment...more

Court Dismisses Shareholder Derivative Action Targeting Directors and Officers for Data Breaches

Earlier this week a federal district court in New Jersey dismissed with prejudice a shareholder derivative suit, Palkon v. Holmes, No. 14-CV-01234 (SRC) (D.N.J.), that tried to blame the directors and officers at hospitality...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

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

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