News & Analysis as of

Internal Investigations

US $2.6-Billion Fraud Judgment Awarded Against Former Sino-Forest CEO

by Bennett Jones LLP on

On March 14, 2018, the Honourable Justice Penny of the Ontario Superior Court (Commercial List Division) released a decision granting a US$2.6-billion judgment to the SFC Litigation Trust for fraud and breach of fiduciary...more

[Webinar] Master Class: Conducting & Closing Effective Workplace Investigations - May 10th, 8:30am PT

by NAVEX Global on

Join this free educational event—brought to you by the NAVEX Global Ethics & Compliance Virtual Conference—for 2.5 hours of quality learning. Become an expert investigator in 1 day! In this Master Class, you will learn...more

Notice of Appeal - A Quarterly Review of Third Circuit Opinions for White-Collar Criminal Lawyers - April 2018

by Cozen O'Connor on

Precedential Opinions of Note - Third Circuit Evaluates Standards for Conspiracy in Insider Trading Case - United States v. Metro (Feb. 14, 2018), No. 16-3813 Unanimous decision: Jordan (writing), Hardiman,...more

A Step-By-Step Guide To Terminating Employees For Theft (Part One)

by Fisher Phillips on

There’s good news for retailers: you are getting better at preventing shrink from employees. In 2005, a University of Florida study found that employee theft accounted for 47 percent of shrink. In a follow-up study in 2016,...more

Disclosures Redux – Outside Auditors and Attorney Work-Product

Following our recent post on disclosures to the EPA, this week we’re going to look at disclosures to outside auditors, often in the context of internal investigations, and steps to take to limit any waiver of attorney...more

French prosecutors reach first ever DPAs settling bribery charges

by White & Case LLP on

In February 2018, the first Conventions Judiciaire d'Intérêt Public ("CJIPs") – or French Deferred Prosecution Agreements ("DPAs") – were entered into for corruption charges between the Public Prosecutor's Office of Nanterre...more

Ten Ways to Prevent Sex Discrimination in the Workplace

by Jaburg Wilk on

The #metoo movement has many employers worried about protecting their employees from discrimination and harassment. Employers often ask what they should be doing to prevent discrimination in the workplace and how best to...more

Unicorn Sighting: NLRB Overturns ALJ Credibility Determination

As we have seen, there are few things that can be counted on in labor relations. Oftentimes, several experts look at the same problem and come to vastly different conclusions. What is (almost) guaranteed, however, is that the...more

SEC Settles FCPA Books and Records and Internal Controls Action

by Dorsey & Whitney LLP on

The SEC moved past virtual currencies for the moment, returning to a long established staple – the Foreign Corrupt Practices Act. The Commission filed a settled books and records action involving an Israeli based firm whose...more

DOJ Criminal Division Announces Major Change in Corporate Enforcement Policy

by Vedder Price on

On March 1, 2018, the Criminal Division of the U.S. Department of Justice (“DOJ”) announced that it has expanded the scope of cases in which it will consider issuing a formal declination of criminal charges for a company that...more

Sapin II and French Anti-Corruption Enforcement

by Michael Volkov on

As more countries enter into the anti-corruption enforcement world, companies face exponential risks of detection and enforcement. Recently, Deputy Attorney General Rosenstein has commented on the need to avoid unfair...more

Defence + Indemnity: February 2018 - V. PRACTICE ISSUES

by Field Law on

V. PRACTICE ISSUES - A. Documents generated for an internal investigation of an accident can be protected by litigation privilege if they were created for the dominant purpose of litigation but that does not mean that...more

The DOJ’s New Officially Unofficial Policy May Enable Federally Regulated Business to Avoid Criminal Charges

Last November, Deputy Attorney General Rod Rosenstein announced a new enforcement policy. Under the new policy, businesses subject to the Foreign Corrupt Practices Act (“FCPA”) may avoid criminal liability by self-reporting...more

Investigating Claims of Harassment: A Step-by-Step “How To” Part 6: Closing the Investigation and Additional Steps Thereafter

by Bryan Cave on

This final installment of a six-part series on harassment investigations discusses how to close the investigation and steps to take after the investigation has been closed. As always, bear in mind that each harassment...more

privilege after SFO v ENRC – Bilta and Jukes

by Allen & Overy LLP on

In two recent decisions, the English courts have grappled with the application of litigation privilege in the wake of Andrews J’s decision in SFO v ENRC. In Bilta v RBS, the court upheld a claim to litigation privilege over...more

Fourth Circuit Upholds Disclosure of Government Subpoena as Evidence of Loss Causation

The Fourth Circuit ruled yesterday that a plaintiff can sufficiently plead loss causation to establish a securities-fraud claim based on an “amalgam” of two theories: corrective disclosure, and materialization of a concealed...more

More Regulations Mean More Scrutiny

by Harris Beach PLLC on

The outcome of a government investigation could have serious repercussions for an organization. There are many reasons why such investigations are on the rise, whether they are prompted by a government agency or the...more

Dear Littler: Can I Immediately Fire a VP Based on Sexual Harassment Allegations?

by Littler on

Dear Littler: I am a senior HR manager at a mid-sized company. One of our female team members just reported her manager, a vice president, for inappropriate conduct. She claims that what started out as mild flirtation on his...more

High Court Decision Confirms the Availability of the Protection of Litigation Privilege in the Context of Internal Investigations

In a recent decision, the Chancellor of the High Court in Bilta v RBS confirmed that in certain circumstances litigation privilege may protect from disclosure documents created in the context of an internal investigation. The...more

Jukes: English Appellate Decision on Litigation Privilege in Internal Investigations

by Latham & Watkins LLP on

The English Court of Appeal provides further guidance, approving ENRC, on when litigation privilege will not apply to information gathering materials. The English Court of Appeal (Criminal Division) has ruled that...more

English High Court Decision Reinforces Application of Litigation Privilege in Internal Investigations

by Latham & Watkins LLP on

The decision indicates that company counsel should consider early how best to anticipate challenges to privilege claims over investigation materials. Introduction - A recent English High Court decision has important...more

Investigating Claims of Harassment: A Step-by-Step “How To” Part 5: Other Sources of Evidence, Summarizing the Investigation, and...

by Bryan Cave on

Before concluding a harassment investigation, the investigator should follow up with other possible sources of evidence, record and summarize the investigation, and reach a conclusion. This fifth part of a six-part series...more

$50 Million Lawsuit Filed Against FDA

by Knobbe Martens on

On January 22, 2018, a $50 million lawsuit was filed against the U.S. Food and Drug Administration (FDA) in the Central District of California. The complaint was filed by Semler Research Center Pvt. Ltd., a contract research...more

English Court Makes First Big Move on Privilege since the ENRC Decision

by Ropes & Gray LLP on

The case of Bilta & Ors v. RBS & Anor (“Bilta”) handed down at the end of 2017 was the first test of the principles in the earlier case of Serious Fraud Office v. Eurasian Natural Resources Corporation Limited (“ENRC”)...more

11th Circuit Affirms Dismissal of Defamation Claim Against Law Firm for Its Internal Investigation

by Akin Gump - Excubitor on

In a decision is sure to assuage the concerns of those engaged in conducting internal investigations, the 11th Circuit ruled last month that the law firm authors of an investigative report on the culture within a professional...more

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