News & Analysis as of

Post Traumatic Settlement Disorder

The rigor and stress of an extensive corporate internal investigation is over. You’ve helped your client determine the scope of wrong-doing, take actions against wrong-doers, calculate the damages/amount of the fraud, fix...more

When Is An Internal Investigation Not Privileged?

Compliance programs have grown in importance along with the demands of new laws and regulations. These programs are increasingly seen as vital to preventing corporate misconduct or, at least, mitigating sanctions if...more

Federal District Court: Documents Created During an In-House Corporate Compliance Investigation Are Not Privileged

In a noteworthy decision in Barko v. Hallilburton Co., a federal court has ruled that a company's internal investigations are not privileged and must be produced to a whistleblower. In light of the ruling in Barko, government...more

FCPA Compliance and Ethics Report-Episode 45, Interview with Justice Ken Wise [Video]

In this episode of the FCPA Compliance and Ethics Report, I visit with Justice Ken Wise of the 14th Court of Appeals. We discuss contract drafting and interpretation, internal investigations and judicial ethics. ...more

Are Internal Compliance Investigations Privileged? D.C. District Court Rules No

U.S. District Court for the District of Columbia holds documents related to internal investigations of possible violations of corporate code of conduct not protected from disclosure under either attorney-client privilege or...more

Internal Investigations: Doing One Can Be A Compliance Best Practice

The US Navy contract scandal took an interesting twist recently when one of its contractors, Inchcape Shipping Services, which had been suspended from doing business with the Navy for “conduct indicating questionable business...more

Investigating Employee Complaints – An Employer’s Double Bind

An employee, having been notified of his impending termination, complains to his employer of discrimination. A human resources professional retained by the employer to investigate the complaint concludes that the employee...more

Internal Trade Compliance Training Is No Longer Enough…

To kick off the new year, our first post is regarding internal training of management and employees. If a CEO instructs management to ensure the company is protected, management might decides to train internally,...more

My Favorite Blog Posts From 2013

One of the best things about the Foreign Corrupt Practices Act (FCPA), UK Bribery Act and other anti-corruption practice areas is the top notch quality of commentators. While Mike Volkov regularly derides the FCPA paparazzi...more

Gruss v. Zwirn: SDNY Strikes a Blow Against Selective Waiver

On November 20, 2013, US District Judge Paul G. Gardephe of the US District Court for the Southern District of New York issued a decision with potentially significant consequences for attorneys conducting internal...more

A Critical Requirement Of A Major Internal Investigation — Independence

There are so many potential pitfalls in conducting an internal investigation. I always say that there is an “art” to conducting an effective internal investigation. ...more

DOJ and SEC Officials Outline Considerations for Companies’ Internal Investigations

Companies all over the globe are increasingly aware of the record number of corporate criminal enforcement actions brought in recent years by enforcement authorities to combat corruption, and many companies now are also...more

Edison, The Phonograph And Supply Chain Audits

Today we celebrate Thomas Edison. It is not his birthday but the 127th anniversary of Edison announcing his first recording invention, the phonograph. ...more

The Importance Of An Effective Internal Investigation Process

Companies struggle to put in place an effective program for conducting internal investigations and meting out discipline. One of the first questions which internal stakeholders struggle with is who is responsible for the...more

Public Sector Requests For Workplace Investigation Information: You Can’t Always Get What You Want

We are frequently asked by public employers to help them navigate requests from their employees and unions for information pertaining to the employer’s internal investigations. While the law in this arena from the courts and...more

Financial Institutions Practice - Quarterly Review (October 2013)

In This Issue: - “The Upfront Costs of Compliance Are Looking More Like a Bargain Every Day” and “How to Minimise the Risk of Insider Trading and Leaking of Material Information” (October-December), Risk &...more

When Enough Is Not Enough: Two Court Rulings Complicate Corporate Compliance Efforts

In the shadow of billion dollar settlements, exhaustive and expensive internal investigations, costly shareholder derivative suits, and the constant need to stay competitive in a global marketplace, companies in recent years...more

Corporate Board Risks In Internal Investigations

The privilege to serve on a corporate board is no longer the cushy experience of our forefathers. The increase in enforcement actions has led to a dramatic change in the role – and the risks – facing corporate boards....more

The Compliance and Audit Partnership: Top 3 Risks and Audit Responses

A few days ago, I presented at the 2013 Governance, Risk, and Control Conference in Phoenix, Arizona, and am excited to highlight the growing force Internal Audit plays in partnering with Compliance to establish and implement...more

The Risks Of A Defective Internal Investigation

Lawyers and compliance professionals repeatedly tout the importance of an internal investigation to protecting a company from devastating consequences from an enforcement action....more

2013 Healthcare Fraud and Abuse Bootcamp Webinar Series, Part V: Compliance

Bill Mathias of Ober|Kaler's Health Law Group presented on compliance as a part of the 2013 Healthcare Fraud and Abuse Bootcamp Webinar Series sponsored by the American Health Lawyers Association. This webinar...more

Why Can’t We Be Friends? Compliance And HR

I have long been an advocate of the compliance function working with the Human Resources (HR) function in any company to help achieve greater compliance under anti-corruption laws such as the Foreign Corrupt Practices Act...more

What Are The Essential Elements Of A Corporate Compliance Program?

Can you synthesize and reconcile the world’s leading laws, regulations and commentaries on the best practices an anti-bribery and anti-corruption compliance program. ...more

12 Internal Benchmarks for Helpline Reporting

Brief Explanation of Internal Benchmarks - While senior leaders and board members often express concerns about how a company’s data compares to external benchmarks, it is equally important that companies review their...more

Federal Authorities Announce FCPA Action, First SEC Non-Prosecution Agreement

On April 22, the DOJ and the SEC announced parallel actions against a clothing company to resolve allegations that a subsidiary of the company paid bribes to Argentine officials over a several-year period to obtain improper...more

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