News & Analysis as of

Internal Investigations

Navigating the Currents – Legal Privilege Under English Law

On 8 May 2017 the High Court in London applied a strict approach to litigation privilege in the context of self-reporting investigations. It is the first case in which a court has considered whether litigation privilege is...more

SFO v ENRC privilege ruling internal investigations

by Allen & Overy LLP on

Enforcement authorities (both criminal and regulatory) have been taking an increasingly combative approach to claims to legal professional privilege in recent years. In Serious Fraud Office (SFO) v Eurasian Natural Resources...more

English Court Questions the Application of Litigation Privilege in Criminal Investigations

On 8 May 2017, the English High Court of Justice handed down judgment in The Director of the Serious Fraud Office v. Eurasian Natural Resources Corporation Ltd,1 which could significantly limit the application of litigation...more

Check Your Privilege: English Court Rules Internal Investigation Materials Cannot be Withheld from Prosecutor

by Latham & Watkins LLP on

“Privilege is a fundamental human right guaranteed by the common law, and a principle which is central to the administration of justice. Once a document is subject to privilege, the privilege is absolute: it cannot be...more

Day 11 of One Month to Better Compliance Through HR-the Fair Process Doctrine [Video]

by Thomas Fox on

Procedural fairness is one of the things that will bring credibility to your Compliance Program. Today it is called the Fair Process Doctrine and this Doctrine generally recognizes that there are fair procedures, not...more

Internal Investigations In The UK: Legally Privileged?

by Morrison & Foerster LLP on

The English High Court (the “High Court”) very recently handed down a highly controversial decision in a case between the Serious Fraud Office (SFO) and Eurasian Natural Resources Corporation Ltd (ENRC). The decision could...more

Red Notice Newsletter - Russian

ANTICORRUPTION DEVELOPMENTS – Former Magyar Telekom Executives Settle Bribery Charges – On April 24, 2017, the Securities and Exchange Commission (SEC) announced that two former executives of Magyar Telekom, a...more

Bellagio v. NLRB: the DC Circuit Reins in the NLRB’s Expansive Take on Weingarten Rights, and a Sign of (NLRB) Things to Come

by Hirschfeld Kraemer LLP on

Last week, in the case of Bellagio LLC v. National Labor Relations Board, the Circuit Court for the District of Columbia determined that the Bellagio Hotel and Casino in Las Vegas did not interfere with a bellhop’s...more

A Judicial Take On SFO Investigative Powers

by Morrison & Foerster LLP on

The High Court of Justice of England and Wales (“The High Court”) recently provided a rare insight into the difficulties that companies and individuals may face when challenging the basis of a Serious Fraud Office (“SFO”)...more

SEC, Issuer, CFO Settle Financial Fraud Claims

by Dorsey & Whitney LLP on

A Luxembourg based seller of semiconductor products with the bulk of its operations in South Korea and a finance executive settled financial fraud charges with the Commission. Previously, the issuer restated its financial...more

The Dialogue: Workplace Complaints and Happy Endings As Rare As Unicorn Frappuccinos?

by Shipman & Goodwin LLP on

The Dialogue — one of more popular recurring posts — returns for the third time. Does that mean the third time’s the charm?...more

Better 4 You Breakfast Settles EEOC Lawsuit for Retaliatory Discrimination

School Meals Provider Will Pay $62,500 to Settle Retaliation Claims and Provide Training to Employees on Retaliation - PHOENIX - A Commerce, Calif.-based company that provides prepared meals to schools has agreed to...more

Health Care Perspectives

With deep experience in the health care industry and a comprehensive understanding of its diverse participants, Katten attorneys serve as conference moderators and panelists, host accredited events, and produce webinars to...more

Sexual Harassment In The News Likely To Lead To Uptick In Claims

by Fisher Phillips on

Whenever the topic of sexual harassment reaches mainstream media outlets, people are bound to take notice. And when sexual harassment allegations involving a prominent public figure like Bill O’Reilly appear in the headlines...more

Suggested Questions for the Compliance Officer

by Ruder Ware on

In a previous blog post, I promised to release a list of questions a Board of Directors (Board) might ask its compliance officer. This post is intended to fulfill that promise. My intent is to help Board members exercise...more

A Guide to Corporate Internal Investigations

by Goodwin on

In-house teams at public and private companies are confronted almost daily with evidence or allegations of potential internal wrongdoing. These scenarios may vary widely in severity and magnitude—from notification of a...more

OIG Publishes New Tool for Measuring Compliance Program Effectiveness

The Department of Health and Human Services, Office of Inspector General (OIG), in conjunction with the Health Care Compliance Association, recently released a resource document to help healthcare organizations measure the...more

Sharing Legal Communications With PR Firm Raises Privilege Issues for Hospital

by Pepper Hamilton LLP on

A recent case in Pennsylvania reminds companies to think carefully about sharing their attorney-client communications with third parties, such as public relations firms. On March 13, a unanimous three-judge panel of the...more

Protecting Privilege of the Corporate Compliance Officer

by Baker Donelson on

The Corporate Compliance Officer (CCO) acts as the organizational conscience overseeing the compliance program. Corporate integrity promotes a strong brand reputation, avoids high-profile failures and contributes to a strong...more

Sunshine Superman – When Culture is Not My Problem

by Thomas Fox on

Today we honor folk-rocker Donovan and his signature song Sunshine Superman, which was profiled in the Wall Street Journal (WSJ) column Anatomy of a Song. The song was a love paean by the singer to “Linda Lawrence, his love...more

Hotel California and Wells Fargo-You Can Check Out, But Can You Leave?

by Thomas Fox on

Today, we celebrate The Eagles most famous song, Hotel California. It all started with a Don Felder cord progression and according to the Financial Times (FT) column The Life of a Song, it had a “fusion of Hispanic melody and...more

The Axe Falls on Wells Fargo – A Scathing Independent Report (Part II of III)

by Michael Volkov on

In a scathing report, the independent directors at Wells Fargo released their findings and actions based on a comprehensive internal investigation of Wells Fargo’s sales abuses. Based on its findings, Wells Fargo’s...more

ABL Management to Pay $35,000 to Settle Retaliation Lawsuit with EEOC

Company Fired Panama City Employee After He Reported Male Supervisor Sexually Harassed Him, Federal Agency Charged - BIRMINGHAM, Ala. - ABL Management, Inc., a Baton Rouge, La.-based food management company, will pay...more

Sally Yates’ was Already Famous for Changing the Focus of Compliance Investigations - The Yates Memorandum

by Ruder Ware on

By now the whole world knows about Sally Yates. We are likely to see a lot more of her as a central figure in Congressional investigations. For some of us who deal with compliance investigations, Sally Yates was famous long...more

March Vastness: Blanket Policies on Employee Salary and Discipline Disclosures Unlawful Says D.C. Circuit Court

This past week, the D.C. Circuit Court of Appeals issued an important decision addressing two on-the-bubble workplace confidentiality policies – one which made the cut, while the other one made its way over to the legal...more

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