David W. Tate, Esq., San Francisco and California – dave@tateattorney.com

You may have heard that the U.S. Department of Justice, Criminal Division has updated its Evaluation of Corporate Compliance Programs (June 2020). I have provided below a link to the updated guidance. The changes can be and are important.

Click on the following link for the Evaluation of Corporate Compliance Programs, U.S. Department of Justice, Criminal Division, Updated June 2020: evaluation-of-corporate-compliance-programs-june-2020-revision

The updated guidance will be discussed in many legal articles and blog posts. And I have not had the time to digest all of the changes. However, for example, below I have provided a snapshot of a paragraph that has been revised and expanded in the Introduction section, and also a snapshot of the revised three fundamental questions (note the revisions to number 2 requiring that the program be adequately resourced and empowered to function effectively). The third fundamental question also still remains challenging, i.e., “Does the corporation’s compliance program work” in practice, and what do you have to do to be able to make the determination that it does “work”?

 

Best to you, Dave Tate, Esq. (San Francisco and California) – dave@tateattorney.com

Litigation, Governance, Administrations, Investigations, Mediator & Conflict Resolution

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Remember, every case and situation is different. It is important to obtain and evaluate all of the evidence that is available, and to apply that evidence to the applicable standards and laws. You do need to consult with an attorney and other professionals about your particular situation. This post is not a solicitation for legal or other services inside of or outside of California, and, of course, this post only is a summary of information that changes from time to time, and does not apply to any particular situation or to your specific situation. So . . . you cannot rely on this post for your situation or as legal or other professional advice or representation.

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Best to you, David Tate, Esq. (and inactive California CPA) – practicing in California only.

I am also the Chair of the Business Law Section of the Bar Association of San Francisco.

Blogs

Trust, estate/probate, power of attorney, conservatorship, elder and dependent adult abuse, nursing home and care, disability, discrimination, personal injury, responsibilities and rights, and other related litigation, and contentious administrations http://californiaestatetrust.com

Business, D&O, board, director, audit committee, shareholder, founder, owner, and investor litigation, governance and governance committee, responsibilities and rights, compliance, investigations, and risk management  http://auditcommitteeupdate.com

My law practice primarily involves the following areas and issues:

Trust, Estate, Probate Court, Elder and Dependent Adult, and Disability Disputes and Litigation

• • • Trust and estate disputes and litigation, and contentious administrations representing fiduciaries, beneficiaries and families; elder abuse; power of attorney disputes; elder care and nursing home abuse; conservatorships; claims to real and personal property; and other related disputes and litigation.

Business, Business-Related, and Workplace Disputes and Litigation: Private, Closely Held, and Family Businesses; Public Companies; Nonprofit Entities; and Governmental Entities

• • • Business v. business disputes including breach of contract; unlawful, unfair and fraudulent business practices; fraud, deceit and misrepresentation; unfair competition; licensing agreements, breach of the covenant of good faith and fair dealing; etc.
    • Misappropriation of trade secrets.
    • M&A disputes.
    • Founder, officer, director and board, investor, shareholder, creditor, VC, control, governance, decision making, fiduciary duty, conflict of interest, independence, voting, etc., disputes.
    • Buy-sell disputes.
    • Funding and share dilution disputes.
    • Accounting, lost profits, and royalty disputes and damages.
    • Insurance coverage and bad faith.
    • Access to corporate and business records disputes.
    • Employee, employer and workplace disputes and processes, discrimination, whistleblower and retaliation, harassment, defamation, etc.

Investigations, Governance, and Responsibilities and Rights

• • • Corporate, business, nonprofit and governmental internal investigations.
    • Board, audit committee, governance committee, and special committee governance and processes, disputes, conflicts of interest, independence, culture, ethics, etc.; and advising audit committees, governance committees, officers, directors, and boards.

Mediator Services and Conflict Resolution

Mediation and Conflict Resolution Hexagon Matrix to Help Achieve Resolution and Settlement – Dave Tate, Esq.

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