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The Corporate Compliance and White Collar Advisor Blog

Articles: 1-10 of 44

New York Enacts Legislation Related to Board Diversity

USA - January 17 2020 New York recently enacted the “Women on Corporate Boards Study” law (S. 4278), joining a growing number of states requiring organizations to report…

Preventing Retaliation Claims During and After an Internal Investigation

USA - December 23 2019 When an employee reports a concern regarding fraudulent or illegal behavior, an employer’s immediate response is likely to open an investigation…

Teri Wilford Wood Speaks on Board Diversity

USA - December 20 2019 Ever since California enacted legislation in 2018 requiring a certain number of female board directors for publicly-held corporations with principal…

Dodd-Frank Whistleblower Claims are Arbitrable, Second Circuit Holds

USA - December 2 2019 In a win for employers, the Second Circuit Court of Appeals recently held that whistleblower claims under the Dodd-Frank Act are arbitrable. Daly v…

Over $2 Billion in Sanctions Ordered by the U.S. Securities and Exchange Commission

USA - November 21 2019 In its 2019 Annual Report to Congress, the U.S. Securities and Exchange Commission (“SEC” or “Commission”) Whistleblower Program announced a…

Who is the Audience for an Internal Investigation Report?

USA - November 12 2019 Too often, internal investigators mistakenly conclude that their reports are for the exclusive review of decision-makers. Sometimes, this may be true…

The Importance of Developing an Investigation Plan

USA - October 30 2019 The importance of a prompt and thorough internal investigation is more evident than ever, and an effective investigation plan can protect the…

Department of Justice Guidance on Companies’ Claim of Inability to Pay Criminal Fines

USA - October 17 2019 The Department of Justice Criminal Division has clarified its policy on the Department’s assessment of a company’s claim that it cannot afford to pay…

Considerations in Selecting an Investigator

USA - September 19 2019 A threshold issue in any internal investigation is the selection of an investigator. A number of considerations will guide a company’s decision…

Do’s and Don’ts of Conducting Internal Investigations

USA - May 28 2019 In today’s post #MeToo era, most companies, big or small, will likely need to conduct an internal investigation on an employee’s claims. Knowing how…