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Compliance

Germany

CMS Compliance & Forensic Services – qualified and experienced in prevention and crisis management

Compliance is an indispensable part of good corporate governance. A compliance structure that is adapted to a company’s specific requirements not only helps to avoid legal violations, it can also minimise liability risk in a crisis.

The CMS Compliance & Forensic Services team comprises more than 60 compliance experts from every area of commercial law. Our broad-based practice and high degree of specialisation enable us to cover all facets of compliance and identify risks rapidly and efficiently. We can provide the necessary legal support for both prevention and investigation.

Our services range from advising on the establishment and optimisation of compliance programmes through internal investigations for detecting violations of the law to assisting with preliminary proceedings and asserting claims for damages.

Prevention is better than cure: our proactive compliance advice

When establishing and implementing a compliance system designed to meet the exact needs of the individual company, we apply a Prevent – Identify – Respond philosophy.

Our Compliance team offers assistance with:

  • Developing, implementing and optimising compliance programmes
  • Risk management (compliance due diligence, business partner screening, compliance clauses in agreements)
  • Setting up and managing reporting systems (whistleblower hotline, ombudsman)
  • Establishing compliance guidelines and conducting training (e.g. on anti-corruption, competition law, prevention of money laundering, IT security and data protection, capital markets law, product safety, procurement law and export control)

Managing the crisis: our Forensic Services in compliance situations

A crisis can affect a company in many ways – and it usually catches management unawares. A crisis situation limits the company's capacity to act and, in a worst-case scenario, may jeopardise the company's very existence. If the company also comes under pressure from business partners, politicians and the media, quick, efficient and legally robust crisis management is required.

The Forensic Services experts at CMS adopt an integrated approach when dealing with crises. As the largest German commercial law firm, we can provide you with the required number of highly qualified lawyers and tax advisors within a very short period of time to handle major internal investigations. For companies in a compliance crisis, we also bring together specialists from various other disciplines: defence lawyers, e-discovery providers, crisis PR consultants, auditors and private investigators. Their role is typically to help detect and resolve violations as part of an internal investigation.

The crucial advantage for you is that CMS Forensic Services act as a single point of contact with an overview of all the relevant compliance issues, guiding you efficiently through the crisis.

Our Forensic Services comprise:

  • Informing management and the relevant supervisory bodies of their duties in a compliance crisis situation and developing a crisis management plan
  • Planning, managing and conducting internal investigations
  • Establishing the facts of the matter, searching documents and e-mail messages with the aid of forensic tools, interviewing employees
  • Return of assets and tracking of payment flows
  • Developing resolution strategies and identifying immediate steps to be taken
  • Managing defence lawyers, auditors, e-discovery providers, private investigators and crisis PR consultants
  • Advising on cooperation with the investigating authorities
  • Coordination and negotiation of the investigation with the works council
  • Development of amnesty programmes and crown witness arrangementsLegal support before and during an official investigation (dawn raid)
  • Contingency plans for correct conduct during dawn raids
  • Dawn raid training
  • On-site support during the investigation. Our international CMS Dawn Raid Network enables us to provide suitable lawyers worldwide with minimum delay, either from one of our 71 CMS offices or from the offices of our partner firms
  • Representation in subsequent official or court proceedings

What others say about us

"CMS performs ‘outstanding work’ and its practice groups work closely together to deliver a comprehensive approach to advice at the preventative and investigative level."
(The Legal 500 Germany, 2015)

"Wide-ranging advice on organisational structure, also establishment and operation of (international) hotlines and investigations. Broad-based capability, including international trade."
(JUVE Handbook of Commercial Law Firms, 2014/2015)

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Mai 2019
CMS Com­pli­ance-Ba­ro­met­er 2018
Re­präsent­at­ive Stud­ie mit deutschen Großun­terneh­men

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May 2019
The Ver­dict
Round-up of cor­por­ate crime de­vel­op­ments across CMS
17/10/2018
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In a re­cent de­cision that could have leg­al im­plic­a­tions on the use of open-source soft­ware in China, the Beijing In­tel­lec­tu­al Prop­erty Court (BIPC) used a con­tro­ver­sial test to de­term­ine wheth­er soft­ware de­veloper YouZi in­fringed on copy­right or simply ex­ploited.
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How to ad­dress mal­prac­tice in sports: The is­sue of com­pli­ance
Sports en­able in­di­vidu­als to ex­er­cise their phys­ic­al tal­ents. It gal­van­ises com­munit­ies, en­er­gises in­di­vidu­als, forms an out­let for com­munity ex­pres­sion, shapes na­tion­al and loc­al iden­tit­ies, pro­duces shared stor­ies, and gath­ers people from all walks of life.
26/03/2018
McHardy with­draws in­junc­tion re­quest – Is this a vic­tory for open...
After the with­draw­al of re­quest for in­ter­im in­junc­tion in Co­logne High­er Re­gion­al Cour­ton March 7, can users of open source soft­ware breathe a sigh of re­lief or does this with­draw­al give rise to false hope? When Co­logne Re­gion­al Court is­sued an in­junc­tion in.
19/03/2018
Open Source Com­pli­ance
Open source com­pli­ance fail­ures can pose a ser­i­ous threat to af­fected com­pan­ies. Here is an over­view. After the first open source li­cense was en­forced by a Ger­man court in 2004, there is no longer any doubt about their valid­ity.
16/02/2018
Com­pli­ance - Res­ol­u­tions for 2018?
Com­pan­ies must com­ply with the European Gen­er­al Data Pro­tec­tion Reg­u­la­tion by 25 May 2018 The sub­ject of data pri­vacy pro­tec­tion is rap­idly be­com­ing a cent­ral com­pli­ance is­sue that com­pan­ies can no longer ig­nore.
30/10/2017
What next for in­ter­na­tion­al data trans­fers?
Sum­mary The Ir­ish High Court has made a pre­lim­in­ary ref­er­ence to the Court of Justice of the European Uni­on (the “CJEU”), ask­ing wheth­er stand­ard data pro­tec­tion clauses (“stand­ard clauses”) are com­pat­ible with the leg­al rights of data sub­jects un­der EU law.
30/10/2017
ECJ Rules on when a com­pany owned by a con­tract­ing au­thor­ity is gov­erned...
IN­TRO­DUC­TION A re­cent rul­ing of the European Court of Justice (ECJ) has con­firmed that a wholly owned sub­si­di­ary of a con­tract­ing au­thor­ity can it­self be re­garded as a ‘body gov­erned by pub­lic law’ and there­fore sub­ject to the pro­cure­ment rules, even where.
19/10/2017
Ger­many: FCJ holds that com­pli­ance man­age­ment sys­tem can lead to re­duc­tion...
On May 9 2017 the Fed­er­al Court of Justice (FCJ) de­cided for the first time that the es­tab­lish­ment of a com­pli­ance man­age­ment sys­tem, de­signed to pre­vent breaches of the law, can re­duce fines in ac­cord­ance with Sec­tion 30 of the Ad­min­is­trat­ive Of­fences Act.
20/09/2017
Pub­lic Coun­try-by-Coun­try Re­port­ing; Tax­pay­er­s' Rights
Ap­pro­pri­ate Use of Coun­try-by-Coun­try Re­ports The OECD has now pub­lished Guid­ance (avail­able here) on the ap­pro­pri­ate use of Coun­try-by-Coun­try Re­ports (‘Cb­CRs’) by na­tion­al tax au­thor­it­ies. This is in re­sponse to some val­id MNE con­cerns that tax au­thor­it­ies.
13/09/2017
The ap­plic­a­tion of EU mer­ger con­trol cla­ri­fied: no EC no­ti­fic­a­tion...
In the first ever pre­lim­in­ary rul­ing on the EU mer­ger con­trol re­gime, the Court of Justice of the European Uni­on ("CJEU") brought much needed clar­ity on wheth­er the shift from sole con­trol to joint con­trol in an ex­ist­ing un­der­tak­ing is covered by the EU Mer­ger.
11/07/2017
Ger­many: New law makes con­fis­cat­ing pro­ceeds of crimes easi­er
On 1 Ju­ly 2017, the new Act to Re­form Crim­in­al Law on Pro­ceeds of Crime be­came ef­fect­ive (the “Act”). The act trans­posed the EU Dir­ect­ive on the Freez­ing and Con­fis­ca­tion of In­stru­ment­al­it­ies and Pro­ceeds of Crime (2014/42/EU) in­to Ger­man law.