In the Courts
January 31, 2016
In-depth discussion of a Seventh Circuit ruling in which a military government Contractor's FCA summary judgment was upheld for lack of materiality and knowledge.
When FCPA Charges Break the Mold
January 31, 2016
Normally, when a violation of the FCPA comes to mind, it looks a lot like this: A company, due to either corrupt intent or maybe just poor compliance practices, pays off a foreign official in return for some sort of business benefit. It's true that this is often how FCPA cases come to be, but not always.
The Yates Memo, Corporate Cooperation and Attorney-Client Privilege
January 31, 2016
Last year, DOJ Deputy Attorney General Sally Q. Yates issued "Individual Accountability for Corporate Wrongdoing" (the "Yates Memo"). It announced the DOJ's corporate cooperation policy requiring disclosure of "all relevant facts about individual[s]" before the DOJ will consider awarding the company any credit for cooperation. Does this change corporate privilege?
The Advice-of-Counsel Defense and the Corporate Employee: A Loss of Balance
January 31, 2016
Ordinarily, a defendant who wishes to assert the defense of advice of counsel must unlock the door that shields his privileged communications with counsel ,and divulge those communications to his adversary. But when the defendant is a corporate employee, he may not be able to unlock that door.
Business Crimes Hotline
December 31, 2015
On Dec. 4, 2015, the DOJ announced that 16 additional FIFA officials have been implicated in the widespread, 24-year soccer corruption scandal.
Investigations in Developing Countries
December 31, 2015
Conducting an internal investigation into questionable company conduct is universally a stressful experience. Imagine having to handle all that in a remote location, thousands of miles and multiple time zones away, in a developing part of the world with logistical and infrastructure challenges, and with cultural, political and legal systems that differ markedly from those in the United States.
In the Courts
December 31, 2015
A look at a Ninth Circuit ruling in a case involving the sale of unregistered securities.
FINRA's Hunt for Insider Trading Cases in Illiquid Markets
December 31, 2015
Over the last several years, the Financial Industry Regulatory Authority (FINRA) has continued to emerge as a consequential securities transaction regulator, acting in the stead of the traditional authority imposed by DOJ and the SEC. Certainly, this manner of delegation of a prosecutorial function to an administrative agency has been the subject of criticism.
Data Analytics Is Low for Corporate Investigations
December 30, 2015
Social media has become the dominant channel of communication for a spectrum of users ranging from individual bloggers to billion-dollar corporate conglomerates. However, a recent survey indicated that the use of data analytics on social media is lacking in corporate legal investigations, despite its potential.
