Regulation & public law
A compliance system should help people recognise risks and respond consistently. We advise on governance, internal reporting, third-party controls and investigations into suspected misconduct.
Scope of our advice
The scope is tailored to the business and its exposure to corruption, competition, fraud, sanctions, data and sector rules. Investigations require a defined mandate, evidence protocol and appropriate coordination with employment and criminal-law specialists.
What needs attention
Protect confidentiality without promising privilege that may not exist in every jurisdiction. Interview practices, personal data and employee rights need to be considered from the outset.
A proportionate investigation and remediation process
An allegation should trigger a structured assessment of urgency, credibility, conflicts and potential exposure. We define the investigation mandate, oversight, reporting line and evidence sources before interviews or document reviews begin. A matter involving senior management may require independent governance. Personal data, employee rights and confidentiality must be considered throughout. Legal privilege and protection of investigation materials vary by jurisdiction and should not be promised as an automatic consequence of instructing a lawyer.
How the legal work is organised
Fact-finding should distinguish established facts from allegations and inference. Evidence is preserved through proportionate measures, interviews are planned and findings are assessed against the relevant legal and internal requirements. Decisions about reporting, disciplinary action or claims may require specialist advice and should be documented separately from the investigation itself. Remediation addresses processes, incentives, training and oversight. A useful final action plan assigns owners and deadlines and includes a check that the revised controls actually work, rather than ending with a report that nobody implements.
Four practical examples
Illustrative scenarios explaining typical legal issues; these are not statements about specific client mandates.
Whistleblower report
A report alleges improper payments by a sales intermediary. We assess urgency, conflicts and the steps needed to preserve evidence.
Practical approach. The initial assessment should protect evidence and the reporting process without prejudging the allegation. Access to information should be limited to people with a defined role in assessing or resolving the matter.
Third-party onboarding
A distributor operates in a high-risk market. We define proportionate checks, contractual commitments and escalation triggers.
Practical approach. Checks should reflect the intermediary’s role, compensation and exposure, with clear escalation for unexplained arrangements. A signed compliance clause is useful but cannot substitute for an appropriate onboarding and monitoring process.
Board investigation
Allegations involve senior management. We structure independent oversight and clarify reporting lines before the investigation begins.
Practical approach. Independent oversight should be documented so that implicated managers do not control the evidence or conclusions. The board also needs a process for decisions where members themselves may have conflicting interests.
Remediation
An investigation finds recurring control failures. We translate the findings into responsibilities, revised procedures and documented follow-up.
Practical approach. Test whether the changes address the actual cause, such as incentives, approval gaps or poor recordkeeping. Assign a follow-up review and keep evidence of implementation rather than relying only on staff attendance at training.
Preparing the first discussion
Provide the allegation, relevant policies, organisational chart and known evidence, while identifying any risk of continued misconduct or document loss. Explain which people may have conflicts and whether authorities, auditors or insurers are already involved. The review should avoid unnecessary collection and circulation of personal information and agree secure handling before sensitive material is transferred.
Related expertise
Competition & merger control · Public procurement & concessions · State aid & subsidies
Discuss your business matter
Tell us which parties and countries are involved, what you want to achieve and whether a deadline is approaching. We will clarify the scope, the appropriate legal team and the fee arrangements before work begins.
Reference: EU legislation and case law. English translations of German legislation may lag behind the authoritative German text. Application depends on the facts and the relevant current law.