Compliance & Internal Investigations

Legal requirements in the business world are extensive. It becomes increasingly imperative to possess a fully operational compliance management system that guarantees employees’ adherence to laws and guidelines, promptly identifies suspicious cases at an early stage, and averts any transgressions.

Establishing an individualized compliance culture within a company, along with the implementation of tangible strategies to prevent legal errors and unlawful conduct by employees, serves to significantly mitigate potential liability risks for both management, particularly in relation to their supervisory and organizational duties, and the company as a whole. Compliance management has the potential to significantly mitigate the inherent risks associated with both criminal and civil law matters.

Lastly, it is important to note that an efficient compliance management system functions to safeguard against potential harm caused by employees, such as the unauthorized appropriation of company funds, the improper utilization of operational assets, acts of theft, or violations of confidentiality.

Compliance management systems serve as the fundamental framework for upholding corporate integrity and fostering trustworthiness. Therefore, they establish a distinct and advantageous position in the market.

We advise our clients on establishing and implementing whistleblowing systems. Pursuant to the provisions set forth in the European Union Whistleblower Directive, it is incumbent upon private and public employers, whose workforce comprises more than 50 individuals, to establish and maintain dedicated channels of communication, commonly referred to as whistleblower hotlines, for the purpose of facilitating the reporting of potential misconduct or wrongdoing.  Our team advises on the establishment of a whistleblowing system, ensuring adherence to all pertinent legal considerations encompassing employment law, data protection, and criminal procedure law.

We additionally serve as ombudspersons and legal representatives of trust for a multitude of corporate entities. In the aforementioned function, we assume the role of a pivotal intermediary, serving as a primary point of communication for entities within both the public sector and private enterprises. By implementing this approach, it is possible to ensure the safeguarding of individuals who disclose information in the public interest, maximize the utility of such disclosures, and prevent harm to corporate entities.

In light of our extensive and diverse expertise in the realm of compliance consulting and white-collar criminal defense within the context of regulatory and criminal proceedings, we are pleased to present our comprehensive compliance monitoring services. We duly observe and meticulously assess the compliance endeavors undertaken by the relevant company, as per the directives of the authorities or in representation of our clients. Subsequently, we diligently record and document our findings for further reference and analysis.

The act of supervision results in the production of duly recorded discoveries and evaluations pertaining to the implementation of compliancemeasures, thereby furnishing the client with significant insights into the current state and quality of the compliance management system.

Compliance monitorships, as an illustrative example, may be mandated by a judicial authority or a private institution (such as the World Bank or the IMF), initiated by the supervisory board of a stock corporation, or initiated by the management board of a parent company in relation to the compliance endeavors of a subsidiary.

In the course of our professional endeavors, we diligently undertake the task of identifying potential areas of risk and meticulously scrutinize our clients’ corresponding obligations. Subsequently, we proceed to establish a hierarchy of risks and implementation priorities, ensuring utmost prudence in our approach. Furthermore, we employ our expertise to devise suitable and efficacious resolutions while formulating the compliance management system. Our primary areas of focus encompass traditional risk domains, including cartels, corruption, and tax compliance, alongside contemporary subjects such as data protection, foreign trade laws, money laundering prevention, cybercrime prevention, and environmental social governance. 

Our range of services at a glance

• We assist our clients in implementing and optimizing compliance management systems.
• We advise our corporate clients on introducing whistleblowing systems and meeting the responsibilities associated with operating whistleblowing offices.
• We develop tailored protocols, communication channels, and training strategies to ensure compliance with applicable regulations. 
• We offer comprehensive counsel to board members, general managers, and supervisory board members on all aspects pertaining to compliance and corporate governance.
• We offer continuous and discerning legal and strategic counsel to the compliance divisions within the organization, as and when required.

In the event that suspicions arise regarding compliance violations and in the occurrence of official proceedings, it is imperative that management expeditiously acquaint themselves with the full scope of any alleged misconduct so as to effectively respond. The utilization of internal investigations is the legally suitable method to achieve the desired outcome in this matter. 

Internal investigations play a crucial and indispensable role within a well-structured compliance management system. These measures represent a crucial component in the pursuit of efficient damage reduction, as they possess a preventive nature and serve to alleviate potential corporate penalties. Furthermore, it is imperative to realize that internal investigations play a pivotal role in facilitating the obligatory process of corporate rectification, as mandated by pertinent legal frameworks such as public procurement law.  

Our approach to internal investigations

• We engage in the strategic development and implementation of internal corporate investigations. The collection of information is undertaken in both physical and digital formats, while interviews are conducted with members of the workforce. We have the capability to work through substantial quantities of data, particularly in the form of electronic mail, word processing documents, and graphic files, but also including information that has been stored on cellular devices or subsequently deleted. We employ specialized software to render said data visible and subsequently analyze its contents. For this, we use forensic evaluation programs and our own AI tools.
• In the event that it becomes necessary, we diligently facilitate the coordination of internal investigations with the appropriate authorities or a duly appointed compliance monitor. 
• In the event that criminal or regulatory proceedings ensue, we undertake the representation of your company before the pertinent authorities. To obtain comprehensive details pertaining to legal representation in relation to authorities, we kindly direct your attention to our White Collar and Criminal Compliance page.