Investigations Compliance

News & Analysis as of

CFPB and DOJ announce redlining settlement

Consistent with recent indications from CFPB and Department of Justice officials that more redlining cases would soon be coming, the CFPB and DOJ have announced a proposed consent order with Hudson City Savings Bank to settle...more

Justice Department Prioritizes Prosecution of Individuals for Corporate Misconduct in New Guidance

After prolonged criticism over its lack of prosecution of individuals responsible for corporate misconduct, the Justice Department has issued new internal guidance that makes clear that prosecuting individuals in white collar...more

“Individual Accountability for Corporate Wrongdoing”: The Yates Memo and the DOJ’s Focus on Individuals

On September 9, 2015, the Department of Justice issued a memo (“Individual Accountability for Corporate Wrongdoing”) to federal prosecutors nationwide implementing new policies that—for the first time—prioritize the...more

How to Effectively Handle a Wage and Hour Government Investigation

According to recent studies, companies paid $400 million in 2014 and $39 million in the first three months of 2015 to settle wage and hour lawsuits exclusively. Aside from the ever-increasing threat of private wage and hour...more

E-Discovery: If you can’t take the data to the tools, take the tools to the data

Today we welcome Jo Sherman, CEO, EDT Inc. to share some of her thoughts on the challenge of international investigations and data collection/analysis. Given the challenges of discovery and data collection across borders in...more

Are Public Companies Required to Disclose that the Government is Investigating Them?

For many public companies, the first issue they have to confront after they receive a government subpoena or Civil Investigative Demand (“CID”) is whether to disclose publicly that they are under investigation. Curiously, the...more

The Costs and Risks of Corruption: Impacts beyond the Bribe

Anti-corruption news often revolves around the costly criminal and civil enforcement penalties paid by companies caught in corruption scandals. In the U.S., those costs often reach the hundreds of millions of dollars and are...more

FCPA Compliance and Ethics Report-Episode 167-Mara Senn on the Top 10 Practices in a Cross-Border Investigation [Video]

In this episode I visit with noted white collar practitioner Mara Senn who discusses her top 10 best practices when conducting cross-border investigations. ...more

FCPA Compliance and Ethics Report-Episode 156-emergency podcast on Deflategate and the Wells Report [Video]

In the first emergency podcast Jay Rosen and I review (what we know) of the Wells Report into Deflategate. We consider the issues from a FCPA compliance practitioner perspective and what lessons may be learned from the...more

DOJ and SEC Officials Focus on Enforcement, Self-Reporting and Compliance at International FCPA Conference

From November 18 to 19, 2014, the American Conference Institute held its annual U.S. Foreign Corrupt Practices Act (FCPA) conference outside of Washington, D.C. Keynote speakers including U.S. Department of Justice (DOJ)...more

Internal investigations and the Importance of Witness Interviews

Everyone claims to know how to conduct an internal investigation. Given the government’s reliance on internal investigations, law firms have beefed up their internal investigation services. Inevitably, the quality of internal...more

Global Investigations: Reading The Signals

As the global economy recovers, how will regulators respond? Experts provide perspectives on trends in regulatory and corporate investigations. Global trends in regulation - In the wake of the financial crisis,...more

Justice Department Opens Up False Claims Files for Criminal Investigation

The Justice Department has a penchant for disclosure – they tell you what they are going to do in advance and then they do it. Companies have tried to claim they were “shocked” or “surprised” by the Justice Department’s...more

Important Considerations for Cohesive Internal Investigations

After potentially illegal or unethical wrongdoing is exposed within an organization, the most important step to take is to launch a comprehensive internal investigation. This can be a major challenge, and there are a number...more

Former FTC Regional Director and Court of Appeals Justice Answers What To Do When the FTC Investigates

We like to give you information that helps you stay off the radar of the Federal Trade Commission with posts. But, what do you do if the FTC does investigate? I asked newly-minted Gray Reed & McGraw shareholder Justice Jim...more

Long and Winding Road of FCPA Investigations

The Justice Department and the SEC attorneys have a duty to manage caseloads and move cases responsibly. I called it “cut and run.” Either the government has the evidence or it does not – and they now fairly early on what...more

A Surprise in Progressive Rock – FCPA Internal Investigations

The case has a long involved Foreign Corrupt Practices Act (FCPA) history. It involves Panalpina and its customer Shell. David Smyth, in his great blog Cady Bar the Door, reported, in a post entitled “Texas Court of Appeals...more

Land of Confusion: Insurance Coverage for Pre-Suit FCPA Investigation Costs under D&O liability Policies

Bloomberg recently reported that Walmart spent $439 Million in the past two years related to a Foreign Corrupt Practices Act (“FCPA”) investigation . Moreover, Walmart predicts that it will spend an additional $200 Million to...more

Conducting Interviews in an Internal Investigation 2 13 14, 9 03 AM [Video]

The ability to conduct an effective internal investigation is critical for every organization. The interviews of witnesses are the most important aspect of any internal investigation. In response to interest in holding...more

How to Form Teaming Agreements and Strategic Partnerships

In this presentation: - Teaming - Subcontracting - Joint Ventures - Q&A - Excerpt from Teaming: Once partners are selected, prepare and sign a Teaming Agreement: - What...more

FCPA Mid-Year Assessments

The Internet is littered with FCPA Mid-Year Assessments and reports on enforcement activity and so-called trends and developments. Talk about making mountains out of molehills. Some of the reports are excellent; others are...more

Managing Your Internal Investigation Program June 3 2014 [Video]

Global companies have to design and implement an efficient process for conducting internal investigations. An effective ethics and compliance program requires companies to screen complaints, assign appropriate resources to...more

Global Boardroom Risk Solutions Newsletter

Now more than ever, there is a need for risk solutions in the boardroom. Any organization can be faced with a significant crisis, whether a fraud investigation, a regulatory infringement, allegations of anticompetitive...more

Director of SEC’s Division of Investment Management Provides Insights into Agency’s View of Alternative Mutual Funds and Focus of...

On June 30, 2014, in remarks to the Practising Law Institute’s Private Equity Forum, Norm Champ, Director of the SEC’s Division of Investment Management, addressed the increase in the number of mutual funds that use...more

When Should You Disclose an SEC Investigation?

SEC investigations have become more common in recent years as the still relatively new Chair, Mary Jo White, and others have focused resources and attention on enforcement. It is now well established that there is no...more

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