Internal Investigations

KM conducts independent, internal investigations across Canada into a full array of alleged isolated and systemic individual and organizational misconduct, such as workplace policy and Code of Conduct breaches, financial impropriety, workplace discrimination, harassment, and violence incidents, statutory and regulatory breaches, and serious criminal activity.

We bring credibility, candour, and clarity to difficult situations by conducting fair, comprehensive, timely, and confidential independent investigations to help organizations demonstrate good governance and strong legal, regulatory, financial, operational, and reputational risk management.

KM’s clients benefit from the unique experience of Sandeep Joshi, who was the Head of BMO Financial Group’s Canadian Corporate Investigations team and Associate General Counsel. In that role, he conducted and oversaw internal investigations into alleged isolated and systemic individual and organizational misconduct across all areas at BMO. He was also responsible for identifying, assessing, and mitigating various risks and recommending associated remediation actions and control enhancements.

In addition, KM’s clients benefit from Susan Kushneryk’s experience as Senior Litigation Counsel at the Ontario Securities Commission and Canadian Investment Regulatory Organization (formerly the Investment Industry Regulatory Organization of Canada). In those roles, she was regularly engaged by, and worked with, staff investigators during the assessment and investigation of potential securities law infractions.

Representative Experience

Our lawyers have conducted investigations into a broad range of issues in wide-ranging circumstances for a variety of clients, including:

Individual and Organizational Workplace Misconduct

BMO Financial Group into alleged isolated and systemic individual and organizational misconduct across Canada ranging from workplace policy and Code of Conduct breaches to workplace harassment and violence to statutory and regulatory breaches to serious criminal activity.

A major publicly traded company into anonymous misconduct allegations against its Chief Executive Officer, including alleged breaches of multiple statutory duties, conflicts of interest, as well as breaches of the Code of Conduct and various internal policies.

A biotechnology company into misconduct allegations against its Chief Executive Officer, including alleged financial misconduct, breaches of statutory duties, conflicts of interest, and failure to cooperate with an investigation.

A real estate management and development company into allegations its Chief Operating Officer and other employees breached procurement policies.

A publicly traded company into multiple misconduct allegations against its Chief Financial Officer, including alleged financial improprieties, breaches of statutory duties, conflicts of interest, disclosure of confidential business information, and breaches of the Code of Conduct and other internal policies.

A financial institution into allegations that a division head engaged in varied misconduct ranging from breaching the company’s social media policy to expense fraud to fostering a toxic work environment.

A leading technology company into an executive’s alleged inappropriate access, misuse, and disclosure of confidential business information.

A financial institution into alleged employee fraud.

An exempt market company into an executive’s alleged breach of duties.

A cosmetics company into alleged sexual harassment and sexual assault by a senior executive.

A publicly traded company into alleged sexual harassment by a company executive.

A public organization into an alleged romantic relationship between a senior executive and a subordinate.

Canada’s Office of the Sport Integrity Commissioner into alleged psychological maltreatment, sexual maltreatment, physical maltreatment, grooming, discrimination, and boundary transgressions in Canadian sports.

Securities Misconduct

A financial institution into alleged insider trading.

An energy services company into alleged inappropriate stock option practices.

A public company into alleged share price manipulation by company executives.

Privacy Misconduct

BMO Financial Group into alleged internal and external privacy breaches involving customer and employee information, including the largest external cybersecurity and privacy breach in Canadian financial services history.

Consumer Misconduct

BMO Financial Group into alleged breaches of statutory consumer protection legislation.