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Compliance and Risk Management

The regulatory and enforcement landscape for corporates is evolving rapidly, bringing with it increasing scrutiny, from board level to supply chains. We have the experience and insight to help businesses identify and navigate these risks, whether through providing training programmes or undertaking specialist audits, ensuring governance measures are robust and your interests are protected.

The management of this increasingly complex environment is essential to mitigate the risks of enforcement action and our white-collar crime lawyers are able to draw on their investigations experience and advise accordingly. In addition, we are also able to draw on the knowledge and expertise of the industry leading Mishcon Purpose in order to advise on best practice and ESG issues.

We have a particular specialism in advising on financial crime compliance and we are able to advise on all aspects of a business's governance in this area, from undertaking a full audit of the processes and controls of a business, to providing advice on specific projects or transactions as a matter of due diligence. We adopt a bespoke approach to identify and mitigate risks attaching to financial crime enforcement risks, which may extend to bribery and corruption, money laundering, sanctions controls, or other supply chain matters.

Compliance failures lie at the heart of most financial crime and misconduct investigations.

The focus of our training programme is the compliance-related offences and defences in the UK; based on our analysis of the key areas of compliance risk; the key lessons arising out of the available compliance guidance in both the UK and the US; the interplay between culture and compliance; and important compliance lessons arising from a number of UK and US cases. Our training sessions are designed to instil a practical understanding of key compliance issues to legal and compliance teams of all levels. Sessions can be delivered both as a complete course and in isolation, additional sessions can also be tailored to specific sectors, issues or regulations.

We have particular a specialism in advising organisations on financial crime risks with experience of conducting compliance reviews and audits, advising organisations across a range of sectors on the adequacy of their procedures to tackle such risks.  We recognise that each organisation is different and we bring fresh thinking to each situation, helping companies mitigate the risks they face as necessary, including reviewing and drafting effective and proportionate policies and guidance, identifying weaknesses in processes, or providing training and courses to ensure compliance. In the event that there is a suspected issue, we are able to investigate any suspected breaches, working closely with our clients to agree how best to remedy the breach.   

Sitting alongside the Firm's regulatory and purpose practices, our Corporate Governance practice combines our deep expertise of relevant law and regulation with our experience of implementing best practice. The practice draws together the expertise of specialists across the Firm whose work is aligned with sound principles of governance, including: purpose and leadership; board composition and responsibilities; opportunity and risk management; remuneration and remuneration structures; and stakeholder relationships and engagement. Our Corporate Governance team includes experts in corporate law and governance; employment; remuneration and incentives; commercial arrangements; reputation protection; fraud and governance dispute resolution. We advise a wide-range of businesses including quoted companies, subsidiaries, joint venture companies, family businesses, owner managed and private equity backed businesses.

Increasingly, companies appoint law firms to carry out independent reviews, either proactively or as part of a regulatory or prosecutorial settlement. Since the introduction of DPAs in the UK, the Court can appoint a monitor to oversee and report on a company's programme of remediation. Our lawyers are experienced in agreeing and implementing monitoring programmes for corporate clients, reviewing existing internal controls, and reporting back to the company and regulator.

We specialise in advising corporates on the risks that may attach to specific projects or transactions, particularly in relation to bribery and corruption, potential money laundering, or the breach of sanction controls, each of which may engage extraterritorial liability. Our lawyers have real world experience in cases concerning the enforcement of the Bribery Act 2010, the Criminal Finances Act 2017 and the application of the UK's money laundering framework, making them uniquely well placed to provide practical and pragmatic advice on how to manage these risks at the earliest stage.

Our sustainability practice, Mishcon Purpose, integrates expert lawyers across all areas of our practice, professionals within our MDR Group businesses and trusted sector experts to provide insight and perspective, we bring together integrated and deeply personal advice for our clients in navigating the interconnected considerations of purpose, sustainability, and ESG considerations. From advising on regulatory requirements to managing climate transition, we support our stakeholders and clients across all areas of their requirements.

The increasing focus on supply chains means that the risks that attach to vertical integration for businesses are more pronounced than ever before, with liability attaching pursuant to the Modern Slavery Act 2015, the Bribery Act 2010, and the Criminal Finances Act 2017, amongst others. We are able to conduct a detailed review of an organisation's controls and processes to ensure that the compliance measures in place are sufficiently robust and advise on any appropriate remedial action to ensure the protection of the corporate, both in the UK and abroad.

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