Compliance - Racine

Presentation

Companies and their legal representatives are currently facing reputational and systemic challenges that require them to adopt and implement a strong corporate culture of ethics and compliance.

We provide our clients with a strong, responsive and integrated expertise in every area of corporate compliance (anticorruption, duty of care, economic sanctions and export controls, competition, personal data).

We also advise them in navigating through the complex landscape of sector-specific (banking, finance and insurance) or technical (extra-financial reporting, anti-money laundering and terrorist financing) regulations, and regularly assist companies and their directors in their interactions with French and European regulators.

GOVERNANCE

Formalizing the roles of directors, officers and key employees
Determining the status, prerogatives and resources of the control functions, including the compliance officer, and their teams
Structuring report lines and powers of attorney between management, control and supervisory bodies, officers and operating divisions
Training directors, corporate officers and key employees (practical trainings, crisis units, business ethics awareness, etc.).

PROGRAMS & AGREEMENTS

Drafting programs and action plans following incidents (risk mapping, code of conduct, third-party assessment, training, disciplinary sanctions, control systems, internal procedures and policies)
Coordinating and interfacing compliance programs (anticorruption, antitrust, duty of care, GDPR, economic sanctions and export controls, anti-money laundering and terrorist financing, etc.)
Assisting clients with approval procedures before supervisory authorities (attribution, extension, withdrawal)

THIRD-PARTIES

Advising clients on strategic third-party due-diligences (KYC, KYS, KYP)
Auditing strategic / high-risk contracts and transactions
Conducting acquisition audits (document review, assessment of criminal liability transfer, criminal qualifications, etc.)
Drafting ad hoc contractual provisions (enforceability of compliance programs, right of audit clause, information clause, reporting obligations, termination clause, payment and monitoring procedure)

ALERTS & INTERNAL INVESTIGATIONS

Implementing whistleblowing (personal data, managing the relations with the whistleblower) and internal investigations (investigation committee, investigation methods, investigator’s charter, etc.) procedures

Assisting clients on steering internal investigations (scope, resources to be deployed, dedicated team, conducting interviews, etc.)
Cooperating with other partners (forensic or business intelligence firms)
Interfacing with French/foreign authorities in case of parallel judicial proceedings

Determining the outcome of the internal investigations (closure of the investigations, voluntary disclosure to the authorities, civil liability action, dismissal of legal representatives, contract termination, etc.)
Defining remediation measures

CONTROLS & PROSECUTIONS

Advising and defending clients in administrative controls or sanction procedures (AFA, ADLC, CNIL, AMF, ACPR, BCE, HATVP, etc.)
Assisting with monitoring measures
Interfacing with foreign lawyers in multi-jurisdictional cases and coordinating defense teams
Assisting in resolving conflict of laws/regulations/interests situations (French blocking statute, E.U. blocking regulation, personal data processing, etc.)
Advising and defending client in duty of care lawsuits

The team

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