deen
Nexia Ebner Stolz

Compliance & Investigations

There is a high level of public awareness that companies must observe the laws and regulations governing responsible corporate conduct. Compliance has long since become an integral part of good corporate governance.

This is an issue for small and medium-sized busi­nes­ses as well. If there is no com­p­li­ance mana­ge­ment sys­tem in the com­pany or the sys­tem is not tai­lo­red to the com­pany's risks, there is no secure pro­tec­tion. Among other things, this can lead to con­s­i­de­ra­ble loss of repu­ta­tion and dra­matic eco­no­mic risks, such as dama­ges or fines.

Com­p­li­ance is easier said than done. An ounce of pre­ven­tion is always worth a pound of cure. We help mini­mize com­p­li­ance risks in your ent­ire com­pany or modu­larly in indi­vi­dual depart­ments, regard­less of whe­ther they are tax, human resour­ces or legal, purcha­sing or sales depart­ments.

But what to do if a com­p­li­ance vio­la­tion is sus­pec­ted or has already been made pub­lic? In this case, the facts can be cla­ri­fied by neu­tral con­sul­tants. This is because an in-house invest­ment invol­ves a multitude of chal­len­ges and risks. We can meet these chal­len­ges thanks to our exper­tise and many years of expe­ri­ence. We assist you with an inde­pen­dent, com­pre­hen­sive and rapid inves­ti­ga­tion to ini­tiate civil, labor and cri­mi­nal law coun­ter­mea­su­res.

Our experts, with many years of expe­ri­ence from natio­nal and inter­na­tio­nal pro­jects, can pro­vide you with com­pre­hen­sive, risk-ori­en­ted sup­port in intro­du­cing or impro­ving your com­p­li­ance and cor­po­rate orga­niza­tion and can also iden­tify risks for your com­pany or even damage that has been cau­sed deli­be­ra­tely or unin­ten­tio­nally by emp­loyees or out­si­ders.

Our ser­vices at a glance

  • Com­p­li­ance / risk to pre­vent com­p­li­ance vio­la­ti­ons
    • Risk assess­ments to iden­tify risks and ana­ly­sis of com­p­li­ance struc­tu­res
    • Deve­lop­ment of Com­p­li­ance Mana­ge­ment Sys­tems (CMS)
    • Inte­rim mana­ge­ment of com­p­li­ance func­ti­ons
    • Intro­duc­tion of IT-sup­por­ted risk mana­ge­ment acti­vi­ties
    • Trai­ning/sup­port of emp­loyees in com­p­li­ance issues
  • Inves­ti­ga­ti­ons to detect com­p­li­ance vio­la­ti­ons
    • Spe­cial foren­sic inves­ti­ga­ti­ons/inter­nal inves­ti­ga­ti­ons
    • Com­p­li­ance due dili­gence for cor­po­rate tran­sac­ti­ons; deter­mi­na­tion of the risk level of a tran­sac­tion
    • Foren­sic data ana­ly­sis (IT Foren­sics): struc­tu­red/unstruc­tu­red data
    • Back­ground rese­arch on people and com­pa­nies
    • Assi­s­tance in pro­ces­sing busi­ness issues for court pro­cee­dings
  • Reme­dia­tion to improve your com­p­li­ance
    • Com­p­li­ance out­sour­cing
    • Inspec­tion/cor­rec­tion of the ICS
    • Pre­pa­ra­tion of audit rea­di­ness & inter­nal audit sup­port
    • Deve­lop­ment of risk con­trol matri­ces
    • Imp­le­men­ta­tion of Con­ti­nuous-Audi­ting & Con­ti­nuous-Moni­to­ring (CA/CM) sys­tems
    • Intro­duc­tion of cri­sis mana­ge­ment sys­tems
    • Trai­ning of inter­nal audi­tors
back to top