Internal Investigations

News & Analysis as of

Through Rain, Sleet, or Snow: The USPS Delivers a Helpful Example of Well-Executed Employment-Related Internal Investigations

Remember when the U.S. Postal Service (USPS) conjured up images of disgruntled employees engaging in workplace violence? Those days of incidents, often sparked by employee discontent over unresolved labor grievances and...more

Rite Way to Settle EEOC Retaliation Suit

Federal Agency Wins $70,000 for Worker Who Was Fired for Helping With Sexual Harassment Investigation - GULFPORT, Miss. - Rite Way Service, Inc., a former Alabama corporation that provided janitorial cleaning services to...more

Legal and Compliance Coordination – An Essential Foundation to an Effective Compliance Program (Part IV of IV)

Here is a profound grasp of the obvious – Lawyers can be difficult people. Some like to condemn the profession in its entirety (and carry with them a collection of lawyer jokes). As an attorney, I beg to differ. Many...more

Operationalizing Compliance – Natural Partners and Breaking Down Walls (Part I of IV)

An effective compliance program is built on internal coordination and relationships. Applying the Justice Department’s terminology, an effective compliance program is one that is operationalized. At first glance, you may...more

Deep Dive Due Diligence: Part V – Level III Due Diligence as a Board Tool

Today, I conclude my exploration of Level III, deep dive due diligence, by discussing how a this should be considered as a best practices tool by a Board of Directors in a broader sense. I am joined in this exploration by...more

Deep Dive Due Diligence: Part III – What Does Level III Due Diligence for Senior Execs Consider?

Today, I continue my exploration of Level III, deep dive due diligence, by discussing what this level of due diligence would consider regarding senior executives. I am joined in this exploration by Candice Tal, founder and...more

Protecting privilege during Australian internal investigations: is lawyer work product at risk?

In the long running RBS Rights Issue litigation, the English High Court has recently ruled that notes of interviews of bank employees, prepared by the bank's in-house lawyers who conducted the interviews as part of an...more

Utah employee had no constitutional right to continued employment

Public employees who have a right to continued employ­ment enjoy constitutional due-process protections that run-of-the-mill at-will employees do not. How can a public employer know if one of its employees enjoys...more

Accused of Taking Confidential Information? Five Immediate Steps That Can Limit Risk

Disputes over trade secrets and confidential information have increased dramatically in recent years. Often arising after a business hires an employee from a competitor, a proposed acquisition falls through, or information is...more

Antitrust cartel cases: What companies can expect under a Trump Administration

In this hoganlovells.com interview, partners Megan Dixon and Kathryn Hellings discuss the trends they are seeing related to domestic and international cartel cases and offer a perspective on what could happen under a Trump...more

DOJ Compliance Expectations Concerning Training, Internal Investigations and Audits (Part IV of IV)

DOJ’s Compliance Evaluation questions provide important indications of “new” trends and approaches to compliance functions and issues. Training - In the area of training, DOJ’s Compliance Evaluation reiterates DOJ’s...more

Department of Justice Fraud Section Provides Guidance on Evaluating Corporate Compliance Programs

On February 8, 2017, the United States Department of Justice ("DOJ") Fraud Section published a blueprint for assessing corporate compliance efforts, titled "Evaluation of Corporate Compliance Programs" ("Guidance"). It...more

Lessons from Uber on How to Conduct a Harassment Investigation

Investigating a harassment complaint is not rocket science, yet as the recent news from Uber illustrates, there are many ways for employers to mess it up. The first step is to gather sufficient details to understand the...more

Texas Supreme Court Confirms Broad Scope of Anti-SLAPP Law

Back in late 2015, I wrote a five-part series on the Expanding Scope of the TCPA or Texas’ Anti-SLAPP law. The Supreme Court of Texas confirmed our analysis last week with its decision in the ExxonMobil v. Coleman confirming...more

New Guidance from the DOJ on Your Compliance Program

The U.S. Department of Justice (DOJ), Criminal Division, Fraud Section, recently released new guidance associated with its Guide to the U.S. Foreign Corrupt Practices Act. The guidance, entitled Evaluation of Corporate...more

First ‘Trial of the Century’ and the SQM FCPA Enforcement Action – Part II

Today I conclude my two-part series on the recent Foreign Corrupt Practices Act (FCPA) enforcement action involving the Chilean chemicals and mining company Sociedad Química y Minera de Chile (SQM), which agreed to pay a...more

New DOJ Evaluation – Valuable Document for the Compliance Practitioner: Part II

Yesterday I began a two-part series on the Department of Justice (DOJ’s) “Evaluation of Corporate Compliance Programs” (Evaluation) posted on the Fraud Section website late last week. The document is an 11-part list of...more

UK Decision Highlights Potential Privilege Problems in Cross-Border Investigations

7 steps companies can take to maximize privilege protections under US and English law. Key Points: ..In a recent case, an English court stated that privilege did not apply to notes of employee interviews,...more

Revenge of the Whistle-blower: Possible Consequences of Compliance Failures

In a company with a robust compliance culture, potential whistleblowers can express their concerns without fear of retribution. By contrast, the penalty for a culture that silences whistleblowers just got steeper. Companies...more

Reserving Privilege for the Few: The High Court Confirms the Narrow Interpretation of “Client” for the Purposes of Legal Advice...

Following Three Rivers (No 5) [2003] EWCA Civ 474, the High Court has held that notes of interviews of employees, prepared as part of certain internal investigations by a bank’s solicitors, for the purpose of enabling the...more

Research Misconduct – Guilt by Association

At the allegation stage of a research misconduct matter, it may not be known which of several scientists actually committed research misconduct (assuming anyone did), resulting in more than one scientist being named as a...more

Arming Employers Against Internal Hackers, the 11th Circuit Clarifies CFAA’s “Loss” Requirement

The Eleventh Circuit ruled last week in a wrongful discharge turned Computer Fraud and Abuse Act (“CFAA”) case, spinning the employee’s case against his employer on its head. The facts of Brown Jordan International, Inc. v....more

Professor Terminated For Relationship With Admitted Student Allowed to Move Forward With Title IX Retaliation Claim

A former non-tenured professor at the University of North Texas has filed suit claiming that he was fired in retaliation for his participation, as the accused, in a campus investigation of a graduate student’s sexual...more

Investigations: notes of employee interviews not privileged

Lawyers' notes of interviews with a bank's employees conducted as part of two investigations were not privileged since the employees were not the "client" and the notes were not lawyers' working papers, according to the...more

CFPB and Two States File Suit Against Student Loan Company Navient

The CFPB announced on Wednesday that it had filed a lawsuit against Navient Corporation, formerly part of Sallie Mae, and two of its subsidiaries for alleged “systematic” failures in student loan servicing. The complaint...more

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Cybersecurity

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