A holistic concept for all compliance-relevant issues
Our interdisciplinary “Compliance & Investigations” focus group in Germany, headed by Dr Christian Schoop and Dr Jens Kirchner and under the responsibility of Dr Emanuel Ballo for the area of Investigations and Guido Kleve for the area of Compliance, is comprehensively dedicated to all preventive and reactive compliance issues. As part of DLA Piper's international Compliance & Investigations practice, we support you not only in Germany but worldwide in successfully establishing customized compliance in your company, as well as in reviewing and further developing existing compliance structures. When it comes to company acquisitions, we are the right partner to identify and analyse risks as early as possible as part of compliance due diligence audits.
Implementation of a Compliance Management System
We provide comprehensive advice on reviewing an existing compliance management system (CMS) and we support our clients regarding the conception and implementation of a tailored CMS. A well-structured CMS helps to identify, minimize, and avoid risks and reputational damage at an early stage.
Internal Investigations and Legal Tech Solutions
As the disclosure of breaches of regulations and laws is a top priority for the competent authorities, it is particularly important for companies to conduct an internal investigation in the event of any grievances and irregularities in order to clarify the facts discreetly, transparently and completely and to initiate appropriate measures. Our experienced team conducts national and international internal investigations, regularly using legal tech solutions that enable data protection-compliant handling of large volumes of data, while also enhancing efficiency. In addition, we support you in all regulatory, criminal, and civil proceedings.
Strategic Advice and Crisis Management
Our team also offers strategic advice in connection with compliance, including advice on crisis and reputation management in the event of specific incidents. Our expertise helps you minimize potential risks and navigate your company safely through crises.
Our focus topics
High fines, claims for damages from customers and severe sanctions for employees are just some of the possible consequences of antitrust violations. In addition, antitrust proceedings are often lengthy and costly and therefore tie up considerable capacities. These negative consequences can be prevented or at least mitigated through antitrust compliance.
Various measures can be considered for this purpose. Our experience shows that the following measures in particular, some of which can be implemented with little effort, can make a significant contribution to minimizing antitrust risks:
- Identification of business-specific risks
- Training of employees
- In the event of indications of violations: Internal investigations
We gladly assist you in identifying the right antitrust compliance measures. In our experience, such measures only offer protection for the company and its employees if they are tailored to the specific risks.
Experts: Dr Justus Herrlinger and Semin O
At the same time, the deadlines for complying with capital market obligations are extremely short and companies are often under high operational pressure.
It is therefore essential to set up suitable internal capital market law compliance structures within the company and to obtain experienced, competent advice when needed in order to avoid liability risks.
Experts: Dr Roland Maaß and Kerstin Schnabel
Compliance risks are essential in the context of corporate transactions, as they are usually of crucial importance when deciding whether a deal makes sense for the buyer or not. Conducting compliance due diligence has therefore become a standard practice, especially for larger transactions. This applies even more to international transactions and the involvement of financial investors. Buyers are strongly advised to determine whether the target company operates in accordance with applicable law and conducts its business with integrity before concluding the company purchase agreement. Moreover, there is a legal obligation to do so in Germany, so that, in extreme cases, failure to carry out compliance due diligence can even lead to claims for damages against the buyer's management.
DLA Piper is a leading provider of compliance due diligence advice. Our integrated, international approach ensures that potential risks are identified, assessed and addressed not only from a legal, but also from a business perspective. This enables us to help clients cover this extremely important area of due diligence comprehensively and efficiently.
Experts: Dr Emanuel Ballo, Dr Moritz von Hesberg, Dr Christian Schoop and Dr Thomas Schmuck
Setting up a compliance organisation within a company is essential. The implementation of a compliance management system (CMS) ensures that a continuous improvement process is initiated to maintain compliance. This should be precisely tailored to the company and respond to the company’s specific needs. A tailor-made CMS helps to identify any violations at an early stage and to initiate appropriate measures. Our team has many years of experience in the field of compliance management and provides comprehensive advice on establishing an effective and legally reliable compliance structure. It is essential to carry out a customised risk analysis.
Our services at a glance:
- Carrying out an analysis of the current situation to identify the respective risks for the company
- Support with developing guidelines
- Design and implementation of customized compliance management systems as well as review and optimization of existing compliance management mystems
- Training for company management and employees
Experts: Dr Emanuel Ballo, Dr Moritz von Hesberg, Dr Jens Kirchner, Guido Kleve, Dr Christian Schoop and Dr Wolfgang Haas
As a result of misconduct by employees or management bodies, companies face severe legal consequences in the form of association fines - possibly combined with an entry in the central trade register and exclusion from public tenders - and confiscation orders in the millions. Even the initial suspicion of a criminal offense can lead to the investigating authorities searching companies, significantly disrupting business operations and putting the company's reputation ‘on the line’.
We have many years of experience in defending companies in criminal and administrative fine proceedings and are known for our efficient crisis management in sensitive situations.
As one of the largest and most recognized teams in Germany, we advise our clients competently and confidentially in criminal and administrative fine proceedings at every stage of official proceedings. We provide efficient and committed support and defence for our clients in complex white-collar criminal and compliance-related matters, including cross-border implications - in an efficient and committed manner. In particular, we have many years of proven experience in coordinating with the investigating authorities, with a focus on the procedural rights of our clients. In addition, our corporate defence also forms an interface to the individual defence of the affected management bodies and employees.
Experts: Dr Emanuel Ballo and Dr Christian Schoop
Our advice in the area of Corporate Governance Compliance is aimed, on the one hand, at supporting the establishment and maintenance of appropriate governance structures. Our experience in this area includes companies of all legal forms as well as regulated companies in the insurance, finance and energy sectors. We also offer advice on specific corporate decisions and provide customized training for managing directors and supervisory boards. Our aim is to help companies avoid compliance violations and liability in the area of corporate governance and to contribute to the prevention of other compliance violations.
Experts: Dr Moritz von Hesberg, Dr Wolfgang Haas and Dr Nils Krause
We gladly advise you on customs and foreign trade law. In addition to advising on questions arising in day-to-day business, we conduct and support internal investigations, optimize processes, set up and review customs/tax compliance management systems and represent you before authorities (e.g. tax audits, appeal proceedings) and courts (German and EU courts).
In the event of a cyberattack, we provide support in all legal matters and handle communication with authorities and potentially affected parties, such as customers. Our team draws on DLA Piper's cross-jurisdictional network and can therefore assist companies with both national and international cybersecurity issues and cyberattacks. This also applies to claims for damages. In doing so, we work together with IT experts. In addition to providing immediate response to cyberattacks, we also advise on all matters of cybersecurity and prevention of cyberattacks or analyse completed cyberattacks in order to improve cybersecurity compliance.
In addition to the practical effects of cyberattacks on companies and their business operations, the increasing regulation of cybersecurity compliance by national and European legislators is a challenge for our clients. New regulations such as the Digital Operational Resilience Act (“DORA”), the Cyber Resilience Act (“CRA”) or directives such as the NIS 2 Directive and their transposition into German law contain strict requirements for cyber security compliance. With our holistic consulting approach, we support companies in meeting these requirements.
Experts: Dr Emanuel Ballo, Verena Grentzenberg and Dr Christian Schoop
Since the General Data Protection Regulation (GDPR) came into force, a lack of data protection compliance can lead to fines in the millions.
To ensure our clients' data protection compliance, we have developed a methodology that can be adapted to specific needs and has proven itself in a variety of global projects. We analyse the data flows, identify risks in line with the individual risk profile and provide clear packages of measures to eliminate weaknesses . At the same time, we support you in setting up a compliance structure that ensures ongoing adherence to regulatory requirements.
We support the increasing number of inquiries and complaints from affected persons with pragmatic solutions that take into account the dynamic development of case law.
For internal investigations, we ensure compliance with data protection regulations, including for data transfers within the Group. And we advise you in advance how data protection will not become a problem if an incident needs to be resolved.
We support our clients in all matters relating to employee data protection, in particular at the interface with employment law and compliance. We provide advice on the adaptation and implementation of collective regulations that also comply with the provisions of employment data protection law and conduct the necessary negotiations with employee representatives, for example, in order to implement works agreements with data protection implications for IT systems or locker, gate and video monitoring. In addition, we also always have employee data protection in mind during internal investigations and support companies in a risk-conscious and solution-oriented manner, especially in time-critical situations.
We advise on the applicable sanctions, embargoes, as well as on the necessity for and obtaining of export licenses and, through our global network, on the associated aspects of foreign legal systems. We support foreign investors in foreign trade law investment reviews. In particular, we also support our clients in the implementation and optimization of compliance management systems and in dealing with authorities and any criminal and administrative fine proceedings. Our range of advisory services also include the fulfilment of reporting obligations in foreign trade.
Experts: Prof Dr Ludger Giesberts and Dr Thilo Streit
More than ever before, companies are expanding across borders and deploying personnel internationally to achieve global business goals, ensure knowledge transfer, tap into new markets, and increase their attractiveness as employers in the war for talent. At the same time, the applicable legal requirements are in a state of constant flux – rapid, fundamental, and often permanent.
Compliance in the area of Global Mobility is much more than a mere formality – it is a strategic success factor. Only those who consistently comply with regulatory requirements in the areas of labor, social security, residence, and tax law can protect their company and its representatives from financial, operational, and reputational risks.
We offer globally active companies comprehensive legal support in the relevant areas of law. Thanks to our extensive experience in various legal systems, we can ensure that your global mobility strategies are compliant, efficient, and aligned with your business objectives.
Experts: Saskia MacLaughlin and Dr Jens Kirchner
The pharmaceutical, biotech and medical device industries across Europe are confronted with increasingly difficult legal frameworks and control obligations. With in-depth knowledge and practice-oriented solutions, we support companies from various sectors in understanding and implementing the legal requirements and avoiding violations of the law. Our advice covers all areas that are important for companies in the healthcare and life science sector and encompasses the entire life cycle of their products. This ranges from regulatory compliance in research & development, to advice on criminal law provisions of pharmaceutical and medical device law, anti-corruption regulations, restrictions under drug advertising law and competition law, to data protection and information security.
We not only advise companies preventively to avoid violations of the law, but also assist them when an acute or imminent violation of the law has been identified. We discuss possible consequences, avoidance strategies and suitable compliance measures for the future.
If any violations have occurred, we will advise you on how to deal with these violations, such as violations of false self-employment, the Working Hours Act, temporary employment or minimum wage. We support you in proceedings with the relevant health and safety authorities, customs and public prosecutors.
Experts: Dr Jens Kirchner, Pascal Kremp and Dr Hans-Peter Löw
In the event of a crisis, it is important to ensure a coordinated approach to the various authorities, the public, shareholders and the media as well as a functioning crisis management system.
Experts: Dr Emanuel Ballo, Prof Dr Ludger Giesberts, Guido Kleve and Dr Christian Schoop
In order to identify deficiencies in the compliance management system or to uncover specific compliance violations and to address them appropriately, it is almost inevitable to have an internal investigation carried out. By using external advisors , we can ensure that the investigation is carried out objectively and independently.
Our investigations team is multidisciplinary and cross-jurisdictional, enabling us to assist a wide range of companies with national and international internal investigations. In addition, we are able to take on large investigations in which, for example, a large number of employees or an entire division of a company has come to the attention of the investigating authorities. Our team is also very familiar with the expectations of the authorities, which facilitates possible cooperation with them.
Our services at a glance:
- Conducting and supporting internal company investigations in the event of suspected violations of any kind, including data review and evaluation, employee interviews and recommendations for action
- Advice in connection with dealing with investigating authorities in light of the findings of internal investigations
- Support and defence of clients during investigations by investigating authorities in Germany and abroad
- Ensuring appropriate data protection and compliance with other legal requirements when conducting internal investigations
Experts: Dr Emanuel Ballo, Dr Jens Kirchner, Guido Kleve and Dr Christian Schoop
Specific management and supervisory board duties arise when a concrete compliance violation occurs. In this case, we support - in close cooperation with our colleagues in criminal and employment law - the responsible bodies in taking the appropriate action (“investigate, stop, punish”). This includes the assessment of claims for damages. With our extensive experience, we are also available for the judicial and/or extrajudicial assertion of claims for damages and the settlement of damages with the D&O insurer.
Experts: Dr Wolfgang Haas and Dr Thomas Schmuck
We also support our clients in investigating relevant incidents related to the workplace, e.g. suspected sexual harassment, abuse or bullying, by conducting independent investigations and providing advice. In particular, the proper treatment of employees - among themselves as well as the behavior of superiors - is increasingly becoming the focus of a modern and successful work culture.
Internal and external transgressions, including those that may even constitute criminal offences, are increasingly being addressed by companies. This has now become part of good corporate governance. By improving internal processes and implementing various measures (such as disciplinary measures, but also training), similar incidents can be prevented or at least made less likely in the future. We provide our clients with comprehensive support in this regard.
We have various teams that carry out internal investigations in an appropriate manner. We ensure the necessary discretion and proceed with the necessary sensitivity in the interviews, especially when it comes to so-called MeToo cases.
Experts: Dr Emanuel Ballo, Dr Jens Kirchner, Pascal Kremp, Dr Henriette Norda and Dr Christian Schoop
DLA Piper advises you on all aspects of product regulation throughout the entire life cycle of a product. We know the national and international legal requirements and can advise you i.a. on market entry, approval, certification or labeling requirements for your products. When it comes to product-related trends towards greater safety, we provide comprehensive advice on product safety law issues and assist you with product recalls. We also support you in dealing with authorities and advise you on official investigations as well as on the defence or enforcement of product liability claims.
Environmental compliance issues are becoming more and more important as legislators continue to tighten regulations due to climate change. Environmental law requirements must therefore be successfully integrated into operational processes. This includes, among other things, the avoidance of limit value violations, pollutant leaks and incidents. We advise you on all environmental law issues - including strategic advice - as well as in the event of environmental criminal matters.
Experts: Prof Dr Ludger Giesberts and Guido Kleve
Our advice includes the necessary measures to ensure that companies comply with all necessary due diligence obligations. We also advise on possible consequences and how to avoid them if the interpretation of the due diligence obligations or preparation for them was insufficient or if companies have identified an acute or imminent violation within their supply chain.
Our experts are trained in tax administration proceedings, appeal proceedings, interim legal protection and representation before the tax courts, the Federal Fiscal Court and the European Court of Justice.
Furthermore, our experience extends to numerous tax and criminal tax law correction proceedings and voluntary disclosures. In doing so, we focus on a thorough and comprehensive analysis of the facts of the case and a careful tax law assessment, which may differ from the views of the tax authorities. We actively address any estimates made by the tax authorities in order to protect our clients’ interests. As advisors, we always seek constructive dialogue with the tax authorities in order to develop the best possible solutions.
Our expertise and commitment ensure that our clients are optimally represented in tax matters and that their tax obligations are effectively fulfilled.
Experts: Dr Ulf Andresen, Dr Björn Enders and Dr Konrad Rohde
We have extensive experience in numerous tax and criminal tax correction proceedings and voluntary self-disclosures. This requires, on the one hand, the clean and comprehensive processing of the facts of the case. On the other hand, a tax assessment of the facts is required, possibly in contrast to the tax authorities. Any estimates made by the tax authorities to the detriment of the taxpayer must be countered. As advisors, we approach the tax authorities and enter into a constructive dialogue.
Experts: Dr Emanuel Ballo, Dr Björn Enders, Dr Konrad Rohde and Dr Christian Schoop
The establishment of an efficient compliance management system in companies is essential in order to be able to identify, uncover and deal with potential legal violations at an early stage and to minimize the threat of damage to the company. An important component of such a system is a whistleblower system.
We regularly advise national and international companies on the implementation of appropriate whistleblower systems. We support companies in complying with the legal requirements under the German Whistleblower Protection Act and in the respective jurisdictions.
In addition, we regularly advise companies on how to deal with information received from (former) employees or other persons. In the event of suspected compliance violations, we have many years of experience in managing and coordinating the investigation of suspicions and, in particular, regularly conduct internal investigations to clarify the underlying facts.
We also offer companies our expertise as external ombudspersons, where employees can turn to us as objective, external and experienced contact partners with information.
Experts: Dr Emanuel Ballo, Dr Jens Kirchner, Pascal Kremp and Dr Christian Schoop
Our references
- Advising a listed automotive supplier on reactive and preventive compliance issues, including the design and implementation of the new whistleblower system in the EU.
- Advising a listed electrical and energy technology manufacturer on criminal and, in particular, money laundering law in connection with its involvement in the construction of a power plant in a high-risk country from a corruption perspective.
- Advising a listed medical technology company on a possible environmental offence. Conducting a comprehensive internal investigation and advising the company in relation to a criminal investigation by the public prosecutor's office.
- Advising a listed US automotive supplier on product law compliance, antitrust law compliance and in connection with a global data protection compliance project with a focus on the EU, China, USA and Brazil.
- Conducting a compliance due diligence for a DAX 40 company with regard to compliance risks in connection with the establishment of a joint venture with a South Korean company for the production of batteries for electric cars.
- Ongoing advice to a financial institution on various individual and collective legal issues, including compliance advice.
- Regulatory and FDI advice to a healthcare company in connection with the acquisition of a leading German provider of software solutions in the life sciences sector. Successful application to the BMWK.
- Monitoring and conducting an internal investigation for a leading mobility and transportation company and subsequently adapting the compliance structure.
- Regular advice to companies from various sectors on their obligations under the German Supply Chain Due Diligence Act (LkSG) and the EU Directive on Corporate Sustainability Due Diligence (CSDD), in particular with regard to the implementation of the obligations in an existing compliance management system.
- Advising an SDAX-listed stock corporation in connection with hearings and information and submissions requests by the German Federal Financial Supervisory Authority (BaFin) as part of its monitoring of ad hoc publicity.
- Advising a publicly listed automotive manufacturer and its battery company on comprehensive compliance due diligence in connection with a direct investment of USD48 million in a Canadian lithium company.
