In cooperation with Comfield Unternehmensberatung, we offer companies interdisciplinary and cross-sectoral support in designing, implementing and auditing Compliance Management Systems and in investigating potential cases of non-compliance (“Prevent”, “Detect”, “Respond”). .
Compliance Program: Development and Optimization of Compliance Management Systems
Comfield supports companies worldwide in designing compliance management systems to recognize and effectively minimize risks without unnecessarily restricting operational and business-relevant processes.
Development and optimization of compliance management systems
We advise on the development of compliance management systems as well as on the further development and optimisation of existing systems, for example with regard to changing national and international requirements or standards. Special attention is also paid to the design and implementation of effective and legally compliant processes to avoid organisational liabilities.
We develop company-specific compliance risk analyses as a starting point and critical element of modern, effective compliance management systems. We also provide support in the design and implementation of the resulting compliance measures.
Training concepts and seminars
We create company-specific training programs for all relevant compliance areas (classroom training, web-based training, e-learning) and support their implementation worldwide. Three aspects are particularly important to us: relevance, practical relevance and acceptance. See also: Operational Compliance
Policies and Guidelines
We create tailor-made and comprehensible compliance policies and guidelines. We also support internal and external communication within the company.
Whistleblower systems and ombudsman services
We support you in setting up and operating whistleblowing systems, including appropriate case management procedures. We also advise on the selection of suitable channels and technical solutions. Experienced lawyers from Comfield-Legal can also act as independent ombudspersons where requested. See also: Reaction and Investigation
Business Partner Compliance
We advise on the implementation of effective third-party management and business partner audits and implement the necessary organizational measures. This also includes support in the selection and implementation of IT-supported third-party due diligence processes or the use of background research (integrity due diligence).
See also: Operational Compliance
Certification of Compliance Management Systems
We advise companies on the preparation for and implementation of certifications of compliance management systems according to relevant standards such as IDW PS 980 and ISO 37001.
We advise on compliance monitorships worldwide, for example in the context of deferred prosecution agreements (DPA) with the US Department of Justice (DoJ). It is particularly important to us that an organisation emerges strengthened from a monitoring process. For companies, for example, we manage the monitor liaison office or coordinate the development and change measures resulting from the monitoring. We support monitors in the execution of the monitoring, from the planning to the execution of process and organization audits to the preparation of reports.
Digital Compliance Tools
Digitization offers compliance management systems a multitude of new opportunities for the efficient and effective implementation of measures. We advise companies on identifying possible applications, selecting the right tools and integrating them into existing or emerging compliance systems.
Strengthening Compliance Culture: Integrity Management
A company’s compliance culture is the most important driver for the effective implementation of compliance measures. We advise companies on combining compliance and culture to a holistic integrity management.
Implementation of international requirements for CSR (Corporate Social Responsibility)
Corporate social responsibility requirements are becoming increasingly important. We advise companies on how to effectively combine the special features of CSR with compliance work – in the spirit of a modern, holistic integrity management. We also support companies in CSR reporting (CSR Directive, Modern Slavery Act, etc.) and the fulfilment of other legal requirements (e.g. EU Conflict Minerals Regulation).
Operational Compliance: Compliance consulting in day-to-day business
Comfield is your interdisciplinary compliance contact for your day-to-day business. We advise companies quickly and pragmatically on all compliance issues in their day-to-day business. At the same time, we implement the necessary compliance measures with you or for you.
We do not only advice as external consultants but also take over operational responsibility for the design and implementation of individual and company-specific compliance programs, in short: Source compliance structures out to us!
We ensure the necessary transparency, planning and flexibility to to react quickly, appropriately and competently to unforeseen events. Compliance outsourcing can significantly reduce investment costs compared to setting up your own organization. Regardless of whether the first elements of a compliance management system have already been implemented or whether the company is in the early stages of development, we support each phase with our modular outsourcing approach.
Provision of external compliance officers
As an external compliance officer, we support management and employees in implementing the compliance program and advise on operational compliance issues in day-to-day business.
The external Compliance Officer provides a reliable interface to all important areas of the company and is available at all times for compliance-relevant inquiries. This can include the application of compliance guidelines, such as the admissibility of invitations to or of the participation in an event, as well as the assessment of potential compliance risks relating to a management measure.
Further development of compliance policies and guidelines
The regulatory environment is constantly changing, as are the stakeholder requirements for effective compliance work. At the same time, the organization, its managers and employees continuously gain new insights in their company’s compliance issues. This requires a regular review of the existing compliance rules and regulations – not only with regard to content, but also with regard to applicability and acceptance in day-to-day business. We support you in further developing the compliance rules and regulations and thereby implement your compliance work in a relevant and effective manner.
Compliance training, workshops and seminars
We conduct compliance in-house training worldwide. These can be introductory seminars, but also in-depth workshops on individual risk areas (e.g. corruption, antitrust law, money laundering, conflicts of interest, etc.) or training courses for selected areas (e.g. handling of alerts, monitoring, etc.). The practical relevance of the content conveyed as well as the dialogue with the participants are particularly important in this context in order to increase the acceptance of compliance.
Ad-hoc consulting on business risk decisions (Business Judgement Rule)
Corporate decisions can involve critical compliance risks. We support you in making legally unassailable decisions on the basis of the Business Judgement Rule with due consideration of existing risks. This minimizes board liability risks.
Internal (compliance) audits
The regular review of the implementation and effectiveness of compliance measures is an integral part of compliance management systems. Compliance monitoring is also required by management as part of its general monitoring duties. We conduct internal compliance audits for companies worldwide and advise on the use of the results for the further development and improvement of compliance measures.
The commitment of suppliers to their own compliance standards is part of a modern compliance system and increasingly demanded by customers and other stakeholders. Regular supplier audits are therefore key. We advise companies on the implementation of such audits and conduct them worldwide.
Reaction and Investigation: Support in a Compliance Crisis
In case of non-compliance, a company must react quickly. Reputational damage, order cancellations, fines, damages, personal liability and, last but not least, criminal liability are possible. Comfield and Comfield Legal support you in the critical conflict between the duty to investigate and the economic requirement to successfully maintain business operations.
Investigations into potential cases of non-compliance
Internal investigations and audits involve various legal pitfalls (e.g. in labour and data protection law). We support you in the legally compliant and effective conduct of the investigation, including representation before the investigating authorities. We meet best practice without unnecessarily expanding the scope of the investigation and keep the interests of all relevant stakeholders in mind.
Support in official searches (dawn raids) and seizures
The first few hours of a government search are prone to error. We support you in avoiding the risks associated with searches. We can also assist your company vis-à-vis authorities and courts in case of confiscations.
Interviews and document review (e-discovery)
Interview and document review (also by means of digital tools) are at the core of an internal investigation. This is where particular risks lie, as violations of labour and data protection laws can easily occur. We show you possible solutions and keep the investigation lean without complicating the processes.
Strategic crisis consulting and public relations work
Press releases are not legal documents per se. Nevertheless, public corporate statements can have great legal relevance. We support companies in avoiding legal risks in their public relations work.
Debarrement and self-cleansing
Already today, authorities frequently debar companies from new contracts and can thereby expose them to an existential risk. The new German competition register significantly increases this risk. We support companies quickly and effectively in the procurement law self-cleansing measures to achieve a quick removal from the list.
Disciplinary HR measures
We can also advise you on questions of labour law sanctions and board liability in a compliance crisis. Particular care should be taken, for example, in observing the two-week notice period under German law for dismissals.
Damage claims and asset recovery
We support you in the recovery of assets and the assertion and defence of damage claims (including antitrust damage claims). Compliance cases often involve civil law follow-up questions, on which we provide comprehensive advice.
Our interdisciplinary approach creates deeper insights
We accompany you not only in the legal implications of an investigation, but also in the evaluation of commercial processes and accounting questions, which often provide valuable insights to solve cases.