Internal Investigations

News & Analysis as of

Steep Fines for Company With Compliance Problems, but Recognition of Remediation Efforts May Provide Model Going Forward

After a series of compliance failures leading to the resignation of company’s CEO, the privately-held health care brokerage company Zenefits was just hit with a $7 million dollar settlement by the California Department of...more

GIR Asia Pacific Investigations Review 2017: Australia Chapter - Internal Investigations

It goes without saying that wrongful conduct in a corporate setting can have drastic and irreparable legal, commercial and reputational consequences for the individuals and entities involved. Internal investigations, which...more

Construction One-Minute Read: Carefully Crafting Internal Reports

Contractors often prepare internal investigative reports concerning situations that could lead to future litigation. Like most other internal business records, internal reports are discoverable in litigation. Once disclosed...more

Significant Swiss ruling handed down on privilege in anti-money laundering investigations

In a recent judgment, the Swiss Federal Tribunal has ruled that, where a financial institution delegates its investigation and reporting obligations under the Swiss Anti-Money Laundering Act ("AMLA") to external counsel,...more

When Your Internal Investigator Fails to “Investigate”

A number of recent FCPA enforcement actions have cited common compliance program failures relating to internal investigations. For example, PTC settled FCPA charges with the DOJ and SEC for $28 million. According to the...more

Attorney-Client Privilege in Washington State No Longer Applies When Employment Ends

In order to preserve the attorney-client privilege, counsel who conduct internal investigations begin employee interviews with an “Upjohn Warning”—a disclosure indicating that counsel represents the employer, not the...more

The Yates Memo and Individual Representation

At the November 2, 2016 Securities Industry and Financial Markets Association (“SIFMA”) Compliance and Legal Society Regional Seminar in New York, a SIFMA panel discussed the “Yates Memo,” its effect on internal...more

When Managing Whistleblower and Retaliation Risk, Tools are Important – Processes and People are Critical

One collection of terms I hear a lot is “tools, processes and people.” All three need to be successfully deployed to make a compliance program run properly while also creating an organizational culture that supports...more

FCPA Compliance Report-Episode 291-Sara Kropf on white collar defense in an internal investigation [Video]

In this episode, I visit with white collar defense specialist Sara Kropf, founder of the Kropf Law Firm. She discusses defending corporate executives and employees who are caught up in corporate internal investigations which...more

Building a global team for cross-border investigations: key points

With many internal investigations today involving multiple markets, it is crucial for companies to build cross-border investigation teams that can efficiently and effectively address a multitude of issues. The ideal...more

Volkov on the Evolving Standards for Compliance Programs

Sometimes I get inspired when writing blog posts and sometimes I get on a roll. It is a bit of both this week and today, as previously this week, I have focused on Department of Justice (DOJ) pronouncements on their view of...more

Conflict Avoidance and Conflict Resolution Mistakes that Ruin Workplace Culture, Part III: Failing to Address Workplace Conflicts

In part one and part two of this three-part series, we discussed two of the most common traps employers fall into when it comes to avoiding and resolving workplace conflict: failing to anticipate and plan for high-risk...more

FMLA Fraud Finding Leads To Employer Court Victory - 3 Things You Need To Know About Latest Decision

An employer recently claimed a significant victory in a case brought by a former employee who believed he had been unfairly targeted for termination because of his Family and Medical Leave Act (FMLA) leave request. The...more

Does Releasing an Internal Investigation Report Always Trigger a Subject Matter Privilege Waiver?

One might think that a corporation or government entity would always trigger a subject matter privilege waiver by disclosing an internal investigation report. But subject matter waiver risks have been receding. In Hawa...more

Stuck in Cape Town Again

By creatively patching together scheduled days off, vacation days, and personal holidays, and then switching a shift, the plaintiff put together 21 days off. Unfortunately, he was still scheduled for one shift right in the...more

OIG “Investigative Advisory” Highlights Potential Medicaid Fraud, Patient Harm Stemming from Personal Care Services

The OIG has issued an “Investigative Advisory on Medicaid Fraud and Patient Harm Involving Personal Care Services” that identifies various “fraud schemes” it has encountered involving personal care services (PCS) — nonmedical...more

Conflict Avoidance and Conflict Resolution Mistakes that Ruin Workplace Culture, Part II: Creating a Perception of Unfairness

In part one of this three-part series, we discussed a trap companies often fall into when it comes to avoiding and resolving conflict: failing to anticipate and plan for high-risk situations. Part two covers situations that...more

Conducting an Internal Investigation in the PRC? Protect Your Company From the Outset

Requests by a company’s counsel to interview company employees as part of internal investigations into potential misconduct are commonplace. But when a U.S. company and its counsel seek to interview citizens working for the...more

SEC Opens up the Toolbox to File First Stand-alone Whistleblower Retaliation Case

Welcome back to Whistleblower Week here at Cady Bar the Door. It is a glorious time. Today we discuss In re International Game Technology, Inc., filed on September 29th. While it has done this before alongside other...more

Maximizing Work Product Protection After an Ordinary Course Internal Investigation Uncovers Serious Problems that Could Trigger...

The work product doctrine only protects internal corporate investigations initiated by the corporation's anticipation of litigation. Thus, the protection normally does not extend to investigations required by some external or...more

[Event] 2016 Long Term Care Legal Update: Insights and Best Practices for Risk Mitigation in Employment and Litigation Claims -...

Please join LeClairRyan at Charter Hall in Roanoke's Market Building for a complimentary midday presentation (lunch served) on strategies to combat today's legal concerns. Our attorneys will share insights to help you manage...more

Internal investigations: are employees required to cooperate?

Businesses, particularly in the financial services sector, face an ongoing need to conduct internal inquiries, either following, or in anticipation of, scrutiny from the media, regulators and, with the continued cross-bench...more

Lessons Learned from the FCPA Pilot Program's First Six Months

The guidance issued by the DOJ in connection with the Pilot Program and recent declinations state that disclosure, remediation and cooperation are essential to any favorable resolution with the government. Six months...more

Second Circuit “Purrs” On Cat’s Paw Liability Case

Seyfarth Synopsis: Recently, the Second Circuit held that the “cat’s paw” theory of liability may be used to support recovery for claims of retaliation where an employer negligently relies on information provided by a...more

Proskauer Joins Heads of SEC & OSHA Whistleblower Programs in Webinar

On September 27, 2016, Proskauer Partner Steven J. Pearlman, co-head of the Whistleblowing & Retaliation Practice Group, participated in a Bloomberg webinar with Jane Norberg, Acting Chief of the SEC Office of the...more

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