Compliance
Our extensive experience of investigations and prosecutions means we are ideally placed to help corporations with their preventative compliance programmes.
We evaluate, re-design and test your internal programmes, reducing risk exposure including the risk of intervention.
We frequently advise companies on a wide range of financial crime compliance issues.
This includes sanctions and export control compliance, anti-bribery and corruption (ABC) and anti-money laundering (AML) and counter-terrorist financing (CTF).
We help companies identify risks, assist with due diligence processes and enquiries, draft policies and guidance, document business processes and ensure controls are embedded as well as monitor ongoing compliance.
We can devise and deliver individually designed training programmes for all employees up to board level.
We advise a range of bodies in the UK and overseas, including governments, major corporations, SMEs and professionals across a variety of sectors. We deal with compliance globally and work with trusted legal partners on international projects.
We specialise in conducting deep dive compliance reviews, in recognition that a tick box approach will not satisfy regulators and prosecutors. By talking to employees on the ground about the risks they face and the effectiveness of the measures in place, we can ensure that our recommendations for enhancement are comprehensive but proportionate.
On sanctions and export control compliance, we recognise that applicable laws and regulations are complex and in constant flux, in line with shifts in the political landscape. This fluidity requires firms to keep abreast of changes in multiple jurisdictions and modify their business dealings accordingly. We can help to develop a dynamic programme that responds swiftly to such changes and recognises the inherent scope for conflicting obligations.
Some organisations approach us after being alerted to potential breaches by their internal control mechanisms or a third party, typically other regulated parties. We can conduct an investigation to assess whether a breach has or may have occurred and advise on related disclosure obligations as well as assist with remedial steps.
Our corporate compliance expertise includes:
- Anti-bribery & Corruption
- Anti-money Laundering and Counter-Terrorist Financing (including the submission of SARs, DAMLs and DATFs)
- Corporate Human Rights
- Corporate Risk
- Data Protection
- Financial Services Regulation
- Fraud Prevention
- Sanctions & Export Controls
- Modern Slavery
- We acted for a market leading international consumer goods corporation in the design and implementation of its anti-bribery and corruption compliance programme.
- We have acted for many years on the design and delivery of the international compliance programme for a very large international accounting firm, including advice to its MLRO on issues ranging from appropriate due diligence to disclosures and general risk management.
- Peters & Peters advised a world renowned academic institution on the design and implementation of its compliance procedures for the admission of students from sanctioned jurisdictions.
