Compliance & Internal Investigations

We are advising private and public companies, municipalities, and institutions as well as management boards, general managers, supervisory boards, and other executives on all aspects of compliance. We conduct internal investigations in cases of suspicion and support our clients in introducing whistleblowing systems.

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If you have any questions, please do not hesitate to contact us.

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Heuking Kühn Lüer Wojtek is ranked among the top law firms in Compliance by JUVE, Chambers, Legal500, WirtschaftsWoche, and Focus Spezial.

Compliance Management Systems

Legal requirements in business life are enormous. An individual, company-specific compliance culture and specific concepts to avoid legal errors and unlawful employee conduct minimize liability risks for management (keyword: supervisory and organizational duties) and the company as a whole. They contribute to a corporate mission statement that is both honest and trustworthy. Last but not least, effective compliance management systems offer protection against direct damage caused by employees, such as the misappropriation of company funds, the misuse of operating resources, theft, breaches of secrets, etc.

We identify our clients’ risk areas and responsibilities while setting risk and implementation priorities and find appropriate and effective solutions in designing compliance management systems. Not only “classic” cases of compliance such as cartels and corruption entail significant legal risks for company and its executives. Depending on the industry and a company’s risk situation, preventing infringements of tax law (tax compliance), data protection law, environmental law, export control and other foreign trade laws, food regulations, money laundering obligations, or capital market law may also be the subject of corporate compliance.

  • We support our clients in introducing and optimizing compliance management systems.
  • We design tailor-made sets of rules, communication channels, and training concepts. 
  • We advise executive board members, general managers, and supervisory board members comprehensively on all aspects of compliance and corporate governance.
  • Where required, we assist corporate compliance functions with ongoing and selective legal and strategic advice.

Ombudsman and whistleblower systems

We advise our clients on implementing whistleblowing systems. Under the EU Whistleblower Directive, companies with more than 50 employees or more than EUR 10 million in sales are to be obligated to set up whistleblower hotlines by 2021.

Internal Investigations

If compliance violations are suspected and in the case of official proceedings, management must quickly learn the extent of any misconduct to react properly: This is where internal investigations are the appropriate means to achieve this purpose.

Internal investigations are part of an effective compliance management system. As a first step towards damage reduction, they have a preventative effect and mitigate sanctions against the company. Internal investigations also contribute to corporate self-cleaning as required by law (such as in public procurement law). 

  • We design and conduct internal investigations. We collect information in paper and electronic form and hold employee interviews. Our use of special software makes even large amounts of data such as emails, word processing, and graphics files, but also information stored or deleted on mobile phones, visible and allows us to evaluate the contents.
  • Where necessary, we coordinate internal investigations with the competent authorities or an appointed Compliance Monitor.
  • In criminal or regulatory proceedings, we represent your company towards the authorities (for additional information on representation towards authorities: White Collar and Criminal Compliance Practice Group).

Brochure

Concise information on compliance and internal investigations can be found in our brochure.

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