Compliance and internal investigations

Compliance and internal investigations

Compliance audit:

• Verification of compliance of internal policies and procedures with legal requirements and industry standards
• Identification of non-compliance risks

Development and implementation of internal policies and procedures:

• Establish effective policies and procedures to ensure compliance
• Implementation of an internal control system

Training and awareness raising on compliance issues:

• Conducting compliance training for employees
• Raising awareness of compliance among management and staff

Monitoring and evaluation of compliance:

• Continuous monitoring of compliance
• Regular risk and compliance assessments

Investigation and response to incidents:

• Investigation (including cross-border) of compliance violations
• Development and implementation of action plans to eliminate violations
• Conducting investigations with an international element, taking into account the requirements of Ukrainian and international law
• Cooperation with international regulators and law enforcement agencies

Advice on regulatory issues:

• Advice on compliance with legal and regulatory requirements
• Legal support in the course of interaction with regulatory authorities

Management of ethical issues:

• Development and implementation of ethical codes and standards
• Support in resolving ethical dilemmas and conflicts

Anti-corruption programs:

• Development and implementation of anti-corruption policies and procedures
• Training on anti-corruption measures

Conflict of interest management:

• Development and implementation of conflict of interest management policies
• Consultation and support in cases of potential conflicts

Compliance support in mergers and acquisitions:

• Assessment of compliance risks in mergers and acquisitions
• Advice on the integration of compliance systems

Whistleblower protection programs:

• Creating channels for reporting violations
• Protecting whistleblower rights and ensuring confidentiality
• Litigation with whistleblowers

Assessment and management of sanctions risks:

• Monitoring of sanctions lists and verification of counterparties
• Advice on compliance with sanctions regimes

Personal data compliance:

• Compliance with GDPR and other data protection laws
• Development of policies and procedures for personal data protection

Background Check:

• Screening job candidates, suppliers and contractors for negative information or risks
• Use of international databases to verify the accuracy of information

Compliance with FCPA (Foreign Corrupt Practices Act) and UKBA (UK Bribery Act):

• Advice on compliance with the US Foreign Corrupt Practices Act (FCPA)
• Development and implementation of corruption prevention programs in accordance with the FCPA
• Advice on compliance with the UK Bribery Act (UKBA)
• Development and implementation of corruption prevention programs in accordance with the UKBA

Trade compliance:

• Advice on compliance with national and international trade laws
• Developing and implementing policies and procedures to ensure compliance with export controls and customs regulations
• Verification of counterparties and transactions for compliance with trade sanctions and embargoes
• Training of employees on trade compliance requirements and risk management in foreign economic activity