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Internal Investigations Whistleblowers

Going Rogue: Circumventing Your Company’s Internal Investigation Process to Identify a Whistleblower Will Cost You

by Saul Ewing LLP on

The CEO of Barclays risks losing his 1.6 million-dollar bonus for launching his own personal investigation to identify the company whistleblower who wrote two anonymous letters about his colleague to the Barclays’s Board of...more

Day 11 of One Month to Better Investigations and Reporting-Investigative Challenges

by Thomas Fox on

Today, I want to consider some of the challenges you may well face during an investigation. I am once again joined by Jonathan Marks, a partner at Marcum LLP and well-known investigations expert. Beyond the basics, a company...more

Investigation Challenges

by Thomas Fox on

Today I conclude my three-part series on internal investigations with Jonathan Marks, a partner at Marcum LLP and a well-known internal investigation expert, by considering some of the challenges you may well face during an...more

Are Lawyers' Notes Privileged? - Lawyers' Interview Notes Created in Internal Investigation Ordered to Be Disclosed in U.K....

by Bennett Jones LLP on

A recent English decision on privilege has cast doubt on the legal protection provided to lawyers' work product when assisting corporate clients with internal investigations. In The Director of the Serious Fraud Office v...more

Day 7 of One Month to Better Investigations and Report-How Investigations Inform Remediation

by Thomas Fox on

There is nothing like an internal whistleblower report about a FCPA violation, the finding of such an issue or (even worse) a subpoena from the DOJ to trigger the Board of Directors and senior management attention to the...more

What to Do When the Whistle Blows: Best Practices for Conducting an Internal Whistleblower Investigation

by Pepper Hamilton LLP on

It is nearly inevitable that at some point every company will receive an internal allegation of wrongdoing that will require the company to conduct an investigation. This primer on internal investigations raises key issues...more

Day 1 of One Month to Better Investigations and Reporting-Introduction to Investigations and Internal Reporting

by Thomas Fox on

The call, email or tip comes into your office; an employee reports suspicious activity somewhere across the globe. That activity might well turn into a Foreign Corrupt Practices Act (FCPA) issue for your company. As the Chief...more

Two Recent Decisions Highlight the Court’s Increasingly Narrow Interpretation on the Availability of Legal Privilege in Internal...

by Dorsey & Whitney LLP on

Two recent decisions of the English High Court have considered the availability of legal professional privilege in relation to internal investigations. In both cases the availability of legal professional privilege has been...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

5 Trends in Whistleblower Hotlines and Protections to Be Aware of in 2017

by NAVEX Global on

Every year it’s safe to assume that our list of Top 10 trends will include the latest developments pertaining to helplines, whistleblower reporting and retaliation, and this year is no exception. We begin by examining some...more

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

by NAVEX Global on

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

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

by Brooks Pierce on

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

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

Yates, Whistleblowers and FCPA Pilot Project: Re-Examining Your Internal investigation Protocols

by Michael Volkov on

Companies face an ever-changing constellation of risks, enforcement priorities and demands for internal controls and compliance program elements. As more resources are poured into government enforcement programs, companies...more

Whistleblower Concerns for Private Fund Advisers – Seven Mistakes To Avoid

As we have previously observed, private fund advisers face a difficult challenge when SEC guidance (in the form of a speech or a public enforcement order) indicates that certain long-standing practices may be contrary to the...more

Are You Leaving Whistleblowers Waiting?

by NAVEX Global on

One of the troubling findings in our most recent Ethics and Compliance Hotline Benchmark Report is that organizations are taking longer and longer to close cases, continuing a trend we’ve seen throughout this decade....more

A Review of Recent Whistleblower Developments

by Foley & Lardner LLP on

SEC Awards Bounty to Whistleblower, But Offsets Award for a Judgment Against the Whistleblower - The extent to which the SEC would reward whistleblowers, who themselves engaged in wrongdoing, has been the subject of...more

ICYMI: Financial Services Risk Summit

by BakerHostetler on

On March 3, 2016, the BakerHostetler Financial Services industry team held its inaugural Financial Services Risk Summit. The speakers and panels addressed several key areas affecting the financial services sector: regulatory...more

Preserving the Attorney-Client Privilege when Conducting an Internal Investigation

by PilieroMazza PLLC on

You may recall that, back in July 2014, we advised that the D.C. Circuit Court of Appeals had overturned a D.C. District Court decision in a False Claims Act case that required the results of an internal investigation, which...more

Mitigating FCA Whistleblower Risk When Employees Leave

by McGuireWoods LLP on

Over the past decade, efforts to enforce health care fraud regulations have been bolstered significantly with increased government funding and a dramatic increase in whistleblower claims filed under the False Claims Act’s qui...more

3rd Circuit Affirms Dismissal in Long-Running Weist SOX Whistleblower Case

On February 2, 2016, the Third Circuit affirmed the dismissal of the SOX whistleblower retaliation claim in the closely watched case of Weist v. Tyco Electronics Corp., No. 15-2034. We have posted on key events during the...more

Keep This Between Us—and the Government: Confidentiality of Witness Interviews in Corporate Internal Investigations

by Carlton Fields on

Internal investigations into suspected employee wrongdoing are particularly tricky for in-house counsel, who must protect corporate confidentiality, be mindful of regulatory reporting requirements, and respect labor...more

Organizational Justice: The Importance of Transparency

by Michael Volkov on

You know a company’s culture is suffering when you hear the CEO or senior executives say the best way to develop a “Speak Up” culture is to just tell all the employees “we want to hear from you.” I am an advocate for...more

Cross-Border Investigations Update - November 2015

This issue of Skadden’s semiannual Cross-Border Investigations Update takes a close look at recent cases and enforcement trends, including developments in U.S. Foreign Corrupt Practices Act enforcement; the introduction of...more

Focus on China - October 2015

by McDermott Will & Emery on

Welcome to the third issue of Focus on China Compliance for 2015. According to the FCPA Blog’s October 2015 Corporate Investigations List, China leads the countries reported to be involved in FCPA investigations with 29...more

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