Our compliance experience covers all relevant areas, with a primary focus on anticorruption, antifraud, antitrust and data privacy issues. And in addressing matters that typically arise as a consequence of compliance issues, our well-established investigations, litigation, regulatory, corporate and labor law practices are equipped to help find a resolution.
We have assisted clients in building and improving their compliance organizations. We help clients in the setup of their internal regulatory framework, for example, by drafting a code of conduct or internal guidelines. We also have designed and conducted training programs at all levels, from distribution and marketing to management.
We assist clients when serious compliance issues occur. In many cases it becomes necessary to investigate potential breaches of company policy or law; terminate responsible employees or managers; represent clients who have damages claims against third parties, including D&O insurers; or represent clients being sued by third parties.
Often, compliance issues are driven by regulatory bodies and public prosecutors. We have longstanding experience in representing clients before major German public prosecutors’ offices (such as Berlin, Frankfurt, Hamburg and Munich), tax authorities, and regulatory bodies such as the German banking regulatory authority (BaFin). We also assist companies in Europe in their interactions with US drug and medical device regulators, and in navigating these companies’ anticorruption programs and investigations. Recently, we assisted EU-based companies with issues relating to US regulators who have been exercising their extraterritorial powers with regard to manufacturing compliance issues in the drug and medical device areas.
In the UK, we represent clients before the Financial Conduct Authority (FCA), and in the United States we represent many publicly listed companies, financial services providers and investment companies in investigations and proceedings before the US Department of Justice (DOJ) and the US Securities and Exchange Commission (SEC).