News & Analysis as of

Investigations Disclosure

Fox Rothschild LLP

PA Office of Open Records Affirms Human Relations Commission Investigations Are Not Subject to Public Disclosure

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The Pennsylvania Office of Open Records (OOR) has determined that investigations of alleged discrimination by the Pennsylvania Human Relations Commission (PHRC) are “noncriminal investigations,” and that associated records...more

Health Care Compliance Association (HCCA)

Privacy Briefs: April 2024

The Cybersecurity and Infrastructure Agency (CISA) is seeking comment on a proposed rule to implement reporting requirements for critical infrastructure entities, including health care entities, on cyberattacks and ransomware...more

Allen Barron, Inc.

Willful versus Non-Willful Conduct in the Eyes of the IRS

Allen Barron, Inc. on

What constitutes willful versus non-willful conduct in the eyes of the IRS? Why is this distinction important to the agency, especially regarding international disclosures and taxable events? We are often asked about how...more

Skadden, Arps, Slate, Meagher & Flom LLP

French Blocking Statute: SISSE, PNF, DOJ and French Ministry of Justice Representatives Draw Early Lessons From the 2022 Reform

Representatives from the French and U.S. governments, judiciary and private sector discussed early lessons from the 2022 reform of the so-called French “blocking statute” at a Skadden roundtable in Paris on 27 November 2023. ...more

Health Care Compliance Association (HCCA)

Bucking History, ORI Deputy Denies Requests For Misconduct NPRM Comment Extension

Report on Research Compliance 20, no. 12  (December 2023) In a move that is unprecedented in recent memory, a federal agency has denied a request to extend the comment period on a substantive proposed rule, turning down a...more

Health Care Compliance Association (HCCA)

DOJ: Stanford FCA Case Involved Failures to Disclose Foreign Support From Seven Countries

Report on Research Compliance 20, no. 11 (November, 2023) It wasn't just China. China is among the countries whose support for Stanford University investigators wasn’t reported to five federal research funding agencies,...more

White and Williams LLP

NJ Appellate Court Rules Investigative Documents Created in Compliance With the Patient Safety Act Are Protected

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Under the Patient Safety Act (PSA), a health care facility’s incident and investigative reports are “absolutely privileged”, says the New Jersey Appellate Division. Earlier this month, the court held in Keyworth v. Careone at...more

Health Care Compliance Association (HCCA)

NSF Suspends 18 Awards, Receives Repayments Related to Foreign Ties, Research Misconduct

One university lost 14 awards; another, four. An investigator was suspended governmentwide. A public institution paid back more than $850,000, while two others returned nearly a million dollars....more

Skadden, Arps, Slate, Meagher & Flom LLP

Inside the Courts – An Update From Skadden Securities Litigators - March 2023

Circuits Split Over Whether Targeting Is Necessary for Seller Liability - Key Points - - While courts have long held that solicitations must be tailored to a particular audience to precipitate statutory seller liability,...more

Perkins Coie

New York Cannabis Co. Investor Suit Survives Motion To Dismiss

Perkins Coie on

The District Court for the Western District of New York denied a motion on January 6, 2023, to dismiss claims alleging that a publicly traded company misled investors regarding an investigation by the U.S. Securities and...more

McDermott Will & Emery

Second Circuit Sustains Fraud Claim for Not Disclosing SEC Investigation

Companies under US Securities and Exchange Commission (SEC) investigation focus on marshaling the facts, defenses and related strategies during the course of the investigation and making presentations to the enforcement...more

Foley Hoag LLP - State AG Insights

Losses Continue to Mount For ExxonMobil in its Fight to Prevent State Attorney General Climate Investigations

On March 15, 2020, the Second Circuit rejected an appeal brought by ExxonMobil attempting to block investigations by the New York and Massachusetts Attorneys General into historical claims made by Exxon regarding climate...more

Baker Donelson

SEC Enforcement Developments: Fessing Up and Paying Up

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As the SEC has recently completed its fiscal year on September 30, 2021, where it pushed its enforcement initiatives under new Chairman Gary Gensler, a brief overview of its recent track record is in order. No one can now...more

Sheppard Mullin Richter & Hampton LLP

Game On: FINRA Hints at Upcoming Gamification Sweep

During a May 19, 2021 webcast at the Financial Industry Regulatory Authority’s (“FINRA”) annual conference, Amy Sochard, FINRA’s Vice President of Advertising Regulation, indicated that the organization will seek public...more

Bass, Berry & Sims PLC

Behind the SEC Curtain - Practical Tips for Interacting with the SEC Staff

Bass, Berry & Sims PLC on

I recently presented to the Corporate & Securities Law Committee of the Association of Corporate Counsel (ACC) on the topic entitled “Behind the SEC Curtain: Practical Tips for Interacting with the SEC Staff.” The...more

Manatt, Phelps & Phillips, LLP

Retail and Consumer Products Law Roundup - November 2015

We are pleased to share with you the first issue of Manatt's Retail and Consumer Products Law Roundup. The newsletter will be published on a monthly basis and will survey topics of critical importance to the retail,...more

The Volkov Law Group

Justice Department Opens Up False Claims Files for Criminal Investigation

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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

Bennett Jones LLP

Securities Act Allows Disclosure of Information Obtained in OSC Investigations Without Notice to Affected Persons

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On June 21, 2013, amendments to the Ontario Securities Act (the Act) contained in Bill 65 — the Prosperous and Fair Ontario Act (Budget Measures), 2013—were brought into force. Certain of the amendments have the potential to...more

The Volkov Law Group

How To Disclose A Possible FCPA Violation

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The internet is filled with articles written by lawyers, consultants and government officials on when a company should disclose a potential FCPA violation or a government FCPA investigation. ...more

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