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White Collar Crime & Regulatory Response

Corporations, and their directors, officers, and advisors, are subject to increasing scrutiny and prosecution by Canadian regulatory and law enforcement agencies. There is a growing trend in Canada towards broadening the scope of corporate liability and strengthening the enforcement tools used to detect and prosecute corporate wrongdoing. A government investigation or prosecution against a corporation, or a single individual associated with the corporation, can be devastating and cause significant business disruption.

To effectively mitigate the business, legal, and reputational risks arising from such heightened scrutiny, corporations must be in a position to understand the evolving technical legal requirements, the current enforcement regime and methods used by regulators and law enforcement agencies, and any jurisdictional and cross-border issues, as well as related practical concerns. More importantly, early assessment of potential compliance risks and implementation of best practices policies and protocols will provide the best opportunity to prevent, detect, avoid, or respond to a crisis. As an experienced and trusted advisor, Cassels Brock is ideally situated to assist organizations of all sizes to effectively and efficiently handle all manner of corporate liability issues.

Integrated Team and Experience

Our integrated White Collar Crime & Regulatory Response team has a range of experience and expertise across a broad range of practice areas, including securities, mining, competition/anti-trust, securities litigation, privacy, intellectual property, employment & labour, corporate governanceproduct liability, and class actions.

Where the situation demands, our team coordinates and collaborates across various legal disciplines to ensure a response team with the necessary breadth, experience, and expertise to effectively navigate our clients through the potential problems that arise in the context of domestic and cross-border regulatory and criminal investigations and prosecutions.

We have significant experience in defending allegations of corporate misconduct, advising on crisis management, managing internal and external investigations, and liaising with government authorities. Our lawyers have been recognized as market leaders in their fields by Chambers Global, the Lexpert/American Lawyer Guide to the Leading 500 Lawyers in Canada, Best Lawyers, The Canadian Legal Lexpert Directory, and Global Counsel, among others.

Risk Management

Ensuring company policies meet or exceed current best practice standards is a critical component in mitigating compliance risks and avoiding external scrutiny and litigation. Our team frequently and comprehensively assists clients in the development of proactive risk management strategies, including risk assessment, compliance policies, programs, training, and controls. In collaboration with our clients’ legal, compliance, and operation groups, as necessary, we assist with:

  • Development of compliance policies, programs, and controls
  • Advising boards of directors and independent committees on development of best practices and crisis response plans
  • Advising on and conducting compliance risk assessments
  • Conducting litigation risk assessments
  • Advising on evolving regulatory requirements and regimes
  • Advising on, managing, and coordinating internal and external investigations, including establishing privilege protocols, documentary preservation and review, witness interviews, and reporting

Crisis Response

Our integrated team works together with the client to develop a comprehensive tailored response strategy to navigate to the best, most effective, and practical resolution and to implement any necessary remedial action. Our team has significant expertise and practical experience in managing domestic and parallel cross-border enforcement investigations and proceedings, related class actions or other litigation, and external and internal response strategies. In addition, our team has developed strong working relationships with senior personnel at numerous regulatory and law enforcement agencies and significant experience liaising and negotiating with such agencies. We advise clients on crisis response in a number of areas, including:

  • Securities and capital market enforcement, including disclosure violations, fraud, insider trading and tipping, and securities class actions
  • Foreign or domestic bribery and anti-corruption charges
  • Corporate fraud and embezzlement
  • Competition and anti-trust
  • Workplace injuries and disasters
  • Product liability, including consumer class actions
  • Anti-money laundering
  • Computer fraud, privacy, and data security
  • Tax fraud
  • Whistleblower allegations