Compliance

LOOKING AHEAD. MANAGING RISKS. ANCHORING VALUES. DEVELOPING BUSINESS.

Compliance

Our range of advisory services:

  1. Risk analysis
  2. Compliance management systems
  3. Trainings
  4. Forensics / Internal investigations
  5. Strategic advice to corporate bodies
  6. Compliance of associations

For further information about our COMPLIANCE practiceDr. Silke Möller is at your disposal at any time.

RISK ANALYSIS

We support our clients in the analysis of risk areas relevant to them, which can vary depending on the industry and also on the organisational structure, company size, etc. We place particular emphasis on ensuring that the compliance measures are tailored exactly to suit the individual requirements of the company in question.

If, in addition to the frequently relevant issues of antitrust law and anti-corruption, other risk areas are to be covered on which we do not advise (e.g. data protection, labour law), we work together with the relevant law firms from our network of specialists. The same applies to international compliance projects in which we work together with our foreign partner law firms or our clients' established foreign advisors.

 

COMPLIANCE MANAGEMENT SYSTEMS

Another main area in which we provide advice is the development, structuring and implementation of compliance management systems. This begins – if necessary – with conducting audits and ranges from support in setting up or adapting a custom-fit compliance organisation with appropriate reporting structures and reaction scenarios to the preparation of risk-adjusted compliance documentation and the conduct of trainings. Our expertise in this area also includes the preparation for possible dawn raid situations.

Following the definition risk prevention measures, which are based on the specific needs of our clients, we also support the (global) roll-out of such systems.

Selected matters on which we advised

  • Advising a listed German retail company in connection with the establishment of a global dawn raid task force and the international introduction of a code of conduct as well as other compliance guidelines
  • Introduction and implementation of CMS for several well-known manufacturers of branded food products, among others
  • Development of an antitrust CMS for the German subsidiaries of one of the largest construction companies in Europe
  • Analysis and optimisation of the antitrust CMS for a transportation company with international business activities
  • Implementation of a CMS in Germany for a leading international group of companies in the petroleum industry
  • Development and implementation of a worldwide CMS for a large production company from the Ruhr are
  • Advising a US automotive supplier on the implementation of its CMS in Germany
 

COMPLIANCE TRAININGS

Compliance trainings are an important part of any compliance management system. They not only serve to make management and employees aware of conduct that is risk-prone from a compliance perspective, but are also and especially aimed at demonstrating the unobjectionable scope for action and thus achieving a higher degree of security in day-to-day business.

In the compliance trainings we place special emphasis on the fact that they are individually tailored to the specific needs of the respective company, both in terms of content and target audience. In the preparation of a compliance training, we therefore first define, together with our client, those categories of persons who are exposed to a certain compliance risk, for example company management or specific groups of employees from the operational area (sales, purchasing, etc.). In addition, our compliance trainings regularly include an interactive part in which compliance-relevant principles and the latest developments in enforcement practice and case law are discussed in greater depth.

 

FORENSICS / INTERNAL INVESTIGATIONS

We regularly manage extensive internal investigations for our clients on the occasion of specific compliance violations, but also from a preventive perspective (e.g. post closing audits). In this respect, we can draw on many years of experience in conducting interviews and IT-supported analysis of data and also have established working relationships with leading providers of IT forensic solutions, which we can integrate into the respective project if required.

If a compliance violation is detected (e.g. in the context of an internal investigation or an audit), we also advise our clients on the legal options available as well as preventive measures and processes for the future, with the focus always being on the individual needs of the companies.

Selected matters on which we advised

  • Conducting an extensive internal investigation into a possible antitrust violation at a leading event company and, based on the findings, providing strategic advice on further action
  • Comprehensive internal investigation with a high double-digit number of interviews and detailed review of extensive documents for a company in the automotive sector and subsequent support in the strategic implementation of the results

STRATEGIC ADVICE TO CORPORATE BODIES

We advise our clients' management and supervisory bodies comprehensively on all corporate and strategic aspects arising in connection with compliance measures, for example on the preparation of the adoption of resolutions, on possibilities for optimising existing compliance systems, on action requirements due to new legal or actual developments (including in connection with ESG issues), on options for action in the event of relevant compliance violations being identified, as well as on questions of responsibility and crisis reaction. We also support our clients and their communications advisors in the development of appropriate crisis communications.

 

COMPLIANCE OF ASSOCIATIONS

In the area of compliance, business associations often face special challenges, as they frequently not only have to organise their own association work in a legally compliant manner, but are also important contact persons in compliance issues for their respective member companies. With regard to the risk areas affected, a special focus is often on antitrust issues. We secure that the work of internal association committees is in line with antitrust laws. Our expertise in this area also ranges from questions of the organisation and liability law of associations over the conduct of internal investigations to legal advice regarding the association's public relations activities.

Selected matters on which we advised

  • Legal support for well over 100 committee meetings of an important association from the building materials sector in order to organise the meetings in accordance with antitrust law and develop appropriate guidelines for ongoing committee work
  • Advising a professional association with more than 13,000 members on issues of compliance under association law, including the preparation of compliance documentation for members and committees of the association