Digital Future

Compliance & Investigations

Broad-based expertise in all areas

Reputational damage, ever-higher record fines and huge compensation claims – the implications of compliance violations can be very serious. We assist clients suspected of infringements, handling internal investigations and leveraging our experience in dealing with regulatory, antitrust and criminal authorities and defending court proceedings. We also develop and optimise tailored compliance programmes for companies to help them avoid falling foul of the relevant authorities and to minimise the risk of fines. Clients benefit from our full service compliance practice, which brings together the knowledge and experience of lawyers from different areas, including antitrust, criminal, corporate, employment, data protection, tax, as well as foreign trade and public procurement.

JUVE Awards 2018
Law Firm of the Year for Compliance

Compliance programmes

We work closely with our clients to develop compliance programmes that fit their specific needs and assist in implementing these programmes. ...We start by identifying the particular risks and provide support in setting up the necessary compliance structures and implementing systems to monitor compliance in day-to-day practice.

Training

The success of compliance programmes depends on the participation and support of all employees. In face-to-face seminars and online training sessions, we help employees develop an understanding of the various aspects of compliance and raise their awareness. ...Gleiss Lutz has developed a practical and easy-to-use multilingual e-learning tool with a focus on antitrust law. That prepares employees for situations they may encounter in practice.

Internal investigations

To identify weak spots in corporate structures or existing compliance systems, we offer screenings and audits that enable clients to optimise the assessment and minimisation of risks. ...They also allow us to uncover serious infringements and prepare for possible actions. Engaging outside experts has the advantage of guaranteeing that investigations are independent, confidential and reliable. This facilitates dealings with the authorities, should this prove to be necessary.

Compliance Violations

In the event of breaches of duty by the management, we advise on the assertion of claims for damages against (former) board members and employees as well as D&O insurance coverage. ...We also represent companies in related matters before the regulatory authorities. In connection with antitrust issues, we advise on self-reporting options and using leniency programmes. We have extensive experience in dealing with the antitrust, regulatory tax and criminal authorities, as well as with the respective courts, and are frequently retained to defend companies and their management against claims for damages.

Prevention of money laundering

Even outside the finance and banking industries, many companies have an obligation to take measures to prevent money laundering. They need to review whether their business falls under the Money Laundering Act and what obligations (notification duties, due diligence and organisational obligations) they need to meet in the course of their business activities. The sanctions for violations are substantial. ...We also provide guidance on the design of money laundering prevention programmes, on whether suspicious activity reports need to be filed or criminal charges brought, and on the employment and civil law consequences of violations, and enforce claims against those responsible.
Many medium-sized and large companies can find themselves confronted with situations with criminal law implications – whether as an injured party or on the receiving end of fines for misconduct by employees or management boards. We advise clients on all aspects of white-collar crime, in terms of both prevention and assistance in ongoing criminal and fine proceedings. ...We assist our clients as part of their corporate defence, protect their rights as injured parties and advance their interests efficiently and effectively. A special focus of our criminal law practice is on corruption offences and financial crime.

Tax audits and tax fraud investigations

If there is suspicion of a tax offence, tax auditors will quickly call in tax investigators. ...We provide pre-emptive support on ongoing tax audits, including where tax investigators are already involved.
When it comes to cases with a cross-border dimension we work hand-in-hand with partner law firms both in Europe and around the world. ...This enables us to deliver in-depth and comprehensive legal advice – making us a one-stop shop for complex compliance matters and internal investigations.
Compliance & Investigations News
26.10.2018
2018 JUVE Awards: Gleiss Lutz named Law Firm of the Year for Compliance
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15.10.2018
Gleiss Lutz advises DBAG Fund VII on the financing of its investments in Kraft & Bauer Brandschutzsysteme and Sero Schröder Elektronik Rohrbach and on all related compliance issues
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12.06.2018
Gleiss Lutz accompanies DBAG Fund VII on investment in Karl Eugen Fischer GmbH
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05.06.2018
Gleiss Lutz advises DBAG Expansion Capital Fund on its acquisition of the brokerage firm von Poll
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Know-How
27.08.2019
Ministerial draft bill for an act to combat corporate crime (Corporate Sanctioning Act)
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05.07.2019
GIR: The European, Middle Eastern and African Investigations Review 2019 (Germany)
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14.06.2019
DOJ publishes new guide for assessing compliance programmes
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06.02.2019
New secondary liability of operators of electronic marketplaces for online retailers’ VAT
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