Hogan Lovells Compliance Practice...Hogan Lovells 4 Hogan Lovells International Compliance Practice...
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July 2010 Hogan Lovells Compliance Practice
Transcript of Hogan Lovells Compliance Practice...Hogan Lovells 4 Hogan Lovells International Compliance Practice...
July 2010
Hogan Lovells Compliance Practice
2Hogan Lovells
Why Hogan Lovells and its partners?
� We have leading compliance practices and regularly advise on antitrust, tax and employment compliance
issues as well as on international fraud, bribery, corruption and white collar crime.
� We offer seamless advice around the globe and act as single point of contact to clients. On multi-
jurisdictional compliance implementation projects we can resort to our international network and in countries
where we do not have offices we are happy to co-ordinate advice from your preferred law firm if you wish, or
to suggest an appropriate referral firm with the requisite experience.
� Together with our clients we develop and implement custom-made and creative solutions for an optimal
realisation of the anticipated implementation of the compliance programme.
�
� Being a full service law firm, we are adept to plan and implement projects in cooperation with our clients
across different fields of law with goal-orientation and efficiency.
� Our clients appreciate our strength to identify ourselves with the restructuring projects and they also value
our coordination skills as well as our team spirit.
Hogan Lovells Compliance Practice
4Hogan Lovells
Hogan Lovells International Compliance Practice
Ensuring compliance with applicable policies, regulations and laws is essential for every company.
Compliance covers a very broad spectrum of legal activity: the term compliance and its definitions are as
multilayered as the affected areas of law and business. The consequences of compliance failures can be
severe, ranging from very high fines to reputational damage to criminal penalties for employees or directors
to major loss of revenue or even bankruptcy.
As an international full service law firm, Hogan Lovells offers clients a comprehensive cross-practice and
cross-border compliance advisory service, combining our wide range of legal know-how with industry sector
expertise. We tailor our compliance services to the particular needs of each client.
We share your aim of minimising risk and avoiding company and management liability via a proactive,
preventative approach, and can provide you with ongoing advice on all aspects of legal compliance. Our
compliance team in Europe has proven experience across all relevant practice areas, including for example:
� Corporate governance
� Commercial and contract law, including international trade aspects and government contracts
� Competition law
� Environmental, health and safety law
� Product liability
� Intellectual property law
� Data protection
� Employment law
� Dispute resolution and white collar crime - including enforcement and defence of claims; civil, criminal and insolvency law liability risks; D&O liability and asset tracing
� Crisis communication.
"The firm also handles the co-ordination of white-
collar-criminal defence and overlapping civil
disputes, further emphasizing its flexibility"
Chambers Europe 2008 – Dispute Resolution
"The firm [...] has built up particular expertise in
international fraud and insolvency litigation"
Legal 500 2008
5Hogan Lovells
Compliance overviewAn integrated suite of antitrust compliance and counselling services
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• Antitrust audits
• Compliance programmes
• Compliance training including e-learning
and mini theatre
• Dawn raid simulation and support
• Coordinated approach with other areas of
corporate governance including securities
disclosure, bribery, corruption and
employment law issues
Areas of focusWith ever increasing fines by the antitrust enforcers, criminal sanctions in some jurisdictions, US treble
damages actions and measures to stimulate private actions in Europe, businesses are increasingly
recognising the need to ensure that they have effective compliance arrangements in place.
Developing a robust antitrust compliance solution and ensuring that it is properly implemented is no easy
task. There is no ‘one size fits all’. A stricter approach may be needed in hardcore areas, while a more
tailored solution may be required in others, calibrated to the antitrust risks that a business faces. The way in
which training is delivered should also reflect the specificities of the business.
We assist clients in developing antitrust compliance solutions that work for them across the geographies and
sectors in which they operate.
Through our integrated approach to antitrust compliance we can work with clients:
� to help flush out potential problems and provide an early warning of possible areas of non-compliance;
� to ensure that antitrust compliance and dawn raids preparation and procedures reflect international best
practice;
� to familiarise employees with the basic rules and procedures of antitrust compliance. This is not intended
to make them experts in the law but, rather, to equip them with the basic tools they need to enable them to
know when to ask for help and avoid unlawful activity;
� to enable employees to know what to expect if the business is investigated, thereby maximising the
business’ ability to handle investigations effectively, and minimising business disruption and potential
penalties that can arise from ineffective and unprepared responses;
� to put employees "in role" in genuine and challenging situations to assist them to take effective commercial decisions in compliance with the antitrust laws, wherever they do business;
� to foster a culture where antitrust compliance is institutionalised in the way our clients do business.
Antitrust compliance may be only the tip of the iceberg and does not exist in a vacuum. Often a business will
find that the compliance mechanisms that need to be put in place for other areas of corporate risk may be
equally relevant to antitrust.
“Lovells works quickly but thoroughly and
combines rigorous legal analysis with
commercial realism.”
Chambers Global
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International Fraud, Bribery and Corruption
Corresponding to international market developments over the past year(s), Hogan Lovells has - in addition to
its international Compliance practice - formed a cross-border group to handle bribery and corruption issues,
the "Bribery & Corruption Task Force". The latter brings together a cross-jurisdictional team of partners from
Hogan Lovells' international network with over 25 years of experience in fraud investigations including:
trading, construction, pharma, energy, oil and gas, defence and aerospace, manufacturing, IT and financial
services.
Hogan Lovells' Compliance/White-Collar Crime sub-practice is part of the formidable German Dispute
Resolution practice, which is unmatched in terms of its size, international reach and breadth of experience.
It is also part of Hogan Lovells' German "Compliance Group", which comprises specialists from a wide range
of practice areas and jurisdictions, who work together seamlessly to provide clients with practical advice that
delivers real value to their business.
Our Compliance/White Collar Crime sub-practice advises national and international financial institutions as
well as multinational corporations relating to white collar crime, compliance issues, D&O liability and
regulatory issues. Due to our experienced and long standing forensic practice, we have good knowledge of
the regional characteristics of the respective courts and its judges as well as of the regulatory authorities. In
Germany, we are also recognised as leading law firm in advising accountancy firms on defending liability
claims. As we have been advising and representing clients in most of the major liability disputes over the
past years - working together with different insurance companies -, we have excellent experience in this field,
too. Also, we would like to mention our special expertise in asset tracing and representing creditors of
insolvent debtors as well as domestic and foreign insolvency administrators in enforcing their claims on
behalf of the insolvency estate including recovery of assets which have been transferred prior to insolvency.
The emphasis at Hogan Lovells is on excellence. However, we appreciate that litigation can be expensive in
terms of both management time and money. The ethos of the firm is therefore to provide commercial and
cost-effective solutions. These objectives are achieved by careful case management and working closely
with our clients to understand the commercial drivers behind the litigation. At times this will mean seeing
cases through from inception to trial and the utilisation of aggressive litigation techniques, but this approach
is only adopted where the situation merits it.
"With an interdisciplinary compliance group, the
firm has reacted to the increasing demand for
advice."
JUVE Handbook 2008/09
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Investigations, bribery, corruption and white collar crime
Our international white collar crime and fraud team is a distinct area of specialisation within the Hogan
Lovells dispute resolution practice. Our team is comprised of dedicated professionals in the UK, Europe, the
USA and Asia.
We advise and represent clients in relation to investigations and enquiries by supervisory, regulatory and
prosecuting authorities. Where appropriate we work together with renowned auditors, forensic services
specialists and criminal defence lawyers.
We have particular experience in:
� Civil law representation of companies in tort liability or damages, contract law, corruption, breach of trust,
fraud, etc.
� Advising US and European clients on the applicability of domestic corruption legislation, the US Foreign
Corrupt Practices Act and OECD Conventions on Anti-bribery
� Protection or defence of claims
� Asset tracing
� Civil, criminal and insolvency related risk analysis
� Development of systems that protect or mitigate against violations that may arise
� Review of internal anti-corruption policies for employees and advice on use of third party agents in
countries with high levels of corruption
� Public relations aspects of investigations and enquiries (including crisis communication)
� Board briefings.
"This team garners praise from all corners of the
market for the fraud work"
Chambers Global
"Fraud disputes with an international flavour are
Lovells LLP’s specialism"
Legal 500
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Competition law and the insurance industry
Hogan Lovells has a thriving practice advising the insurance and reinsurance sector on corporate, regulatory
and dispute resolution. This industry experience is also reflected in our competition practice.
Recent work
� Advising various insurance and reinsurance clients on the merger clearance aspects of M&A and joint
ventures
� Advising the International Group of P&I Clubs on its pooling and rating arrangements
� Advising various insurers on the EU sector investigation into business insurance
� Advising on co-insurance arrangements in the light of the European Commission final report on
business insurance
� Advising on industry information exchanges
� Advice on the establishment of a B2B market place for reinsurance risk
� Advice on JV platforms for insurance.
“a truly European competition practice that is
very useful for merger references and lengthy
Commission inquiry work”
Chambers UK
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Employment law compliance
Significant changes to employment law and practice and the introduction of new legislation and government
policies continue to have a big impact on global and domestic businesses throughout Europe. This has led to
a growing need for specialist employment and labour law advice at a national and international level.
Our employment team, operating predominantly from our offices in London, Paris, Amsterdam, Rome,
Madrid and throughout Germany, is already one of the largest in Europe, enabling us to meet your objectives
and requirements on all employment and labour law issues as well as the relevant compliance issues.
Our wealth of experience in employment law issues including transactional, advisory and litigation matters,
enables us to offer concise, practical, commercially sound and balanced advice with a level of co-ordination,
consistency and speed which only a unified, multinational practice can offer.
We have particular experience in:
� Employee sanctions
� Codes of conduct / ethical business standards
� Employee hotlines
� Pre-employment screening
� Monitoring
� Implementation of ombudsmen
� Employment law compliance audits.
"Lovells LLP’s clients reserve effusive praise for
the labour and employment group’s business-
orientated approach, pragmatism and short
response times".
Legal 500
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Tax law compliance
Non-compliance with tax laws can be the result of wrongful tax-planning. More often, it is a side-effect of illicit
action in non-tax-driven operations of a company. In many cases, non-disclosure to the authorites of the illicit
character of payments in or proceeds from seemingly regular corporate operations leads to tax evasion
and/or financial misstatements.
The members of the Hogan Lovells tax practice group are renowned for their in-depth knowledge of the
different markets and the economic and legal environment in which their corporate clients operate. They have
a vast experience of assisting their clients to present solutions to regulate the tax and accounting status of
past action. They also assist to identify their clients´ potential future tax and accounting issues and train
inhouse staff accordingly.
We have particular experience in:
� audits and proceedings of tax authorities and regulatory bodies
� tax questions in criminal investigations (criminal law aspects being covered by criminal law specialists with
whom we have a long-standing relationship)
� advising on personal responsibility of directors/executive officers for compliance with corporate tax
liabilities
� advising on the implementation of tax sensitive structures and the fulfilment of legal requirements
� advising on compliance in relation to corporate tax bookkeeping and tax accounting
"The practice is also intensifiying activities
involving complex tax investigations and
compliance work."
JUVE Handbook 2008/09
Hogan Lovells Recent Experience relevant for this Project
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White collar crime compliance experience (1)
Russian investment company
Global co-ordination of inquiries and enforcement
of claims in relation to money laundering, breach
of trust and corruption in
connection with the privatisation of a Russian
telecoms company
Russian investment company
Global co-ordination of inquiries and enforcement
of claims in relation to money laundering, breach
of trust and corruption in
connection with the privatisation of a Russian
telecoms company
International real estate investment and consulting company
Enforcement of civil law
claims arising from corruption, related
enforcement action and
asset tracing in Germany and abroad. Monitoring
and reviewing the consequences of parallel
criminal proceedings.
Assistance with crisis communication aspects
International real estate investment and consulting company
Enforcement of civil law
claims arising from corruption, related
enforcement action and
asset tracing in Germany and abroad. Monitoring
and reviewing the consequences of parallel
criminal proceedings.
Assistance with crisis communication aspects
Insolvency administrator of BCCI
Co-ordination and handling of the internal
inquiries and representation before
various regulatory
authorities in over 60 countries in connection
with BCCI's insolvency. Enforcement of numerous
restitutions claims
Insolvency administrator of BCCI
Co-ordination and handling of the internal
inquiries and representation before
various regulatory
authorities in over 60 countries in connection
with BCCI's insolvency. Enforcement of numerous
restitutions claims
International IT company
Civil, criminal and
competition law compliance audit including
leading the forensic
aspects, enforcement of redress and injunction
claims due to corruption, breach of trust and
other matters
International IT company
Civil, criminal and
competition law compliance audit including
leading the forensic
aspects, enforcement of redress and injunction
claims due to corruption, breach of trust and
other matters
International business group
Representation of a former board member in defence
of director liability damages claims worth
millions
International business group
Representation of a former board member in defence
of director liability damages claims worth
millions
Mid-sized company
Assisting a renowned mid-
sized company on an investigation based on
alleged breach of trust.
Our immediate presence helped to avoid major
reputational damage to the company
Mid-sized company
Assisting a renowned mid-
sized company on an investigation based on
alleged breach of trust.
Our immediate presence helped to avoid major
reputational damage to the company
International building materials company
Advising management on the sale of the company
with the objective of avoiding any possible
liability risk for
management
International building materials company
Advising management on the sale of the company
with the objective of avoiding any possible
liability risk for
management
International construction company
Enforcement of damage
claims against former employees and
management, with priority
placed on securing assets, as considerable asset
values were transferred abroad
International construction company
Enforcement of damage
claims against former employees and
management, with priority
placed on securing assets, as considerable asset
values were transferred abroad
International transport and logistics company
Regular audits of business procedures in relation to
corruption/breach of trust and advice on civil,
criminal and labour law
consequences
International transport and logistics company
Regular audits of business procedures in relation to
corruption/breach of trust and advice on civil,
criminal and labour law
consequences
International technology company
Advice to the German
subsidiary of an international technology
company in defence of
civil law claims arising from allegations of
corruption against numerous employees
International technology company
Advice to the German
subsidiary of an international technology
company in defence of
civil law claims arising from allegations of
corruption against numerous employees
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White collar crime compliance experience (2)
International construction company
Co-ordination and execution of internal
investigations, representation before
regulatory and prosecuting
authorities, enforcement and defence of corruption
claims in connection with major construction
projects
International construction company
Co-ordination and execution of internal
investigations, representation before
regulatory and prosecuting
authorities, enforcement and defence of corruption
claims in connection with major construction
projects
German subsidiary of an American electronics company
Advice to the former CEO
on civil, criminal and tax matters under German law
in relation to potential
breach of duty and liability risks under the Sarbanes
Oxley Act
German subsidiary of an American electronics company
Advice to the former CEO
on civil, criminal and tax matters under German law
in relation to potential
breach of duty and liability risks under the Sarbanes
Oxley Act
International real estate company
Extensive advice and handling litigation in
relation to a bribery scandal in the project
management of three
major projects in Frankfurt and Munich
International real estate company
Extensive advice and handling litigation in
relation to a bribery scandal in the project
management of three
major projects in Frankfurt and Munich
French oil producer
Advice in connection with
a dispute with auditors over alleged inflated
revenues from issuing
fictive invoices
French oil producer
Advice in connection with
a dispute with auditors over alleged inflated
revenues from issuing
fictive invoices
International construction company
Enforcement of corruption related civil law claims in
Germany and abroad and assistance with
crisis communications
International construction company
Enforcement of corruption related civil law claims in
Germany and abroad and assistance with
crisis communications
International energy company
Representation and advice
in connection with investigations by
regulatory and prosecuting
authorities
International energy company
Representation and advice
in connection with investigations by
regulatory and prosecuting
authorities
Internationaler Investor
Representation in raising damages claims against
former associates and management of a group of
companies in the
construction materials industry in connection with
evidence of embezzlement
Internationaler Investor
Representation in raising damages claims against
former associates and management of a group of
companies in the
construction materials industry in connection with
evidence of embezzlement
International company
Internal audit to determine
possible management liability in connection with
an international investment
project
International company
Internal audit to determine
possible management liability in connection with
an international investment
project
International food products company
Advice on the potential enforcement of fraud
claims against an international media
enterprise in relation tothe
placement of TV advertising
International food products company
Advice on the potential enforcement of fraud
claims against an international media
enterprise in relation tothe
placement of TV advertising
Leading real estate company
Advice and representation of various real estate
funds, board members, management and funds
initiators in damages
claims proceedings based on alleged breach of trust
and investment fraud, prospectus liability claims
and advice on D&O
liability matters
Leading real estate company
Advice and representation of various real estate
funds, board members, management and funds
initiators in damages
claims proceedings based on alleged breach of trust
and investment fraud, prospectus liability claims
and advice on D&O
liability matters
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White collar crime compliance experience (3)
Major Russian financial group
Acting for a major Russian
trading, investment and financial group in a dispute
over the ownership of Bitel, the largest mobile
phone company in the
Kyrgyz Republic with legal proceedings in the Kyrgyz
Republic, BVI and London all of which involved
allegations of bribery and corruption.
Major Russian financial group
Acting for a major Russian
trading, investment and financial group in a dispute
over the ownership of Bitel, the largest mobile
phone company in the
Kyrgyz Republic with legal proceedings in the Kyrgyz
Republic, BVI and London all of which involved
allegations of bribery and corruption.
Multinational manufacturing company
Advising multinational manufacturing company
on the applicability of UK corruption legislation to
negotiations with
government officials in a CIS republic.
Multinational manufacturing company
Advising multinational manufacturing company
on the applicability of UK corruption legislation to
negotiations with
government officials in a CIS republic.
Wealthy Russian Individual
Acting for a wealthy
Russian individual in relation to bribery
allegations involving civil proceedings in England,
BVI and
criminal/extradition proceedings in England,
Switzerland and Russia. [sensitive]
Wealthy Russian Individual
Acting for a wealthy
Russian individual in relation to bribery
allegations involving civil proceedings in England,
BVI and
criminal/extradition proceedings in England,
Switzerland and Russia. [sensitive]
European private bank
Acting for a European
Private Bank in relation to an FSA investigation in its
London branch into the adequacy of its anti-fraud
systems and controls.
European private bank
Acting for a European
Private Bank in relation to an FSA investigation in its
London branch into the adequacy of its anti-fraud
systems and controls.
Multinational financial institution
Advising large
multinational financial institution in relation to a
City of London Police investigation into the
alleged foreign corrupt
business practices of specific employees.
Multinational financial institution
Advising large
multinational financial institution in relation to a
City of London Police investigation into the
alleged foreign corrupt
business practices of specific employees.
International client
Advising a major
international client on, and conducting investigations
into, frauds carried out by senior employees in the
Middle East. Involving
detailed practical advice on the investigations,
dealing with local lawyers and officials and advice on
a number of FCPA and
OECD issues.
International client
Advising a major
international client on, and conducting investigations
into, frauds carried out by senior employees in the
Middle East. Involving
detailed practical advice on the investigations,
dealing with local lawyers and officials and advice on
a number of FCPA and
OECD issues.
Equitable Life
Acting for Equitable Life in
connection with various
investigations and inquiries undertaken by
the FSA, the Serious Fraud Office, the UK
Parliamentary
Ombudsman and the UK accountants' disciplinary
body.
Equitable Life
Acting for Equitable Life in
connection with various
investigations and inquiries undertaken by
the FSA, the Serious Fraud Office, the UK
Parliamentary
Ombudsman and the UK accountants' disciplinary
body.
Russian group
Acting for a Russian group
in a complex international dispute concerning shares
in a Russian mobile telecom operator. This
dispute involved
allegations of corruption of a then serving minister in
the Russian Government which were ultimately
proven.
Russian group
Acting for a Russian group
in a complex international dispute concerning shares
in a Russian mobile telecom operator. This
dispute involved
allegations of corruption of a then serving minister in
the Russian Government which were ultimately
proven.
Court appointed receiver
Acting for court appointed
receiver of a BVI joint
venture company concerning the operation
of a substantial aluminium smelting plant in
Tajikistan. The case
involved an investigation into allegations of bribery
and fraud.
Court appointed receiver
Acting for court appointed
receiver of a BVI joint
venture company concerning the operation
of a substantial aluminium smelting plant in
Tajikistan. The case
involved an investigation into allegations of bribery
and fraud.
Major global consumer products company
Evaluating the FCPA compliance policy of a
major global consumer products company and
recommending changes in
the policy across many jurisdictions around the
world.
Major global consumer products company
Evaluating the FCPA compliance policy of a
major global consumer products company and
recommending changes in
the policy across many jurisdictions around the
world.
15Hogan Lovells
White collar crime compliance experience (4)
Shipping company
Advising a shipping company in respect of
possible fraud and bribery
activities carried out by the managing director of the
Italian subsidiary of the company and in
organizing investigations
in compliance with Italian legislation on privacy and
data protection.
Shipping company
Advising a shipping company in respect of
possible fraud and bribery
activities carried out by the managing director of the
Italian subsidiary of the company and in
organizing investigations
in compliance with Italian legislation on privacy and
data protection.
Foreign bank
Assisting a foreign bank in
taking actions against an Italian bank and an Italian
citizen and in coordinating the activity of criminal
lawyers in connection with
payments made based on forged instructions.
Foreign bank
Assisting a foreign bank in
taking actions against an Italian bank and an Italian
citizen and in coordinating the activity of criminal
lawyers in connection with
payments made based on forged instructions.
Global healthcare company
Advising a global
healthcare company on FCPA related matters in
connection with two separate internal
investigations regarding
alleged "corrupt payments" by foreign
subsidiaries in the Middle East and Asia,
respectively.
Global healthcare company
Advising a global
healthcare company on FCPA related matters in
connection with two separate internal
investigations regarding
alleged "corrupt payments" by foreign
subsidiaries in the Middle East and Asia,
respectively.
Real estate fraud
Advising on civil law
aspects of an alleged real estate fraud on our client
and coordinating our activity with that of criminal
lawyers.
Real estate fraud
Advising on civil law
aspects of an alleged real estate fraud on our client
and coordinating our activity with that of criminal
lawyers.
Major pharmaceutical company
Advising a major
pharmaceutical client following a dawn raid by a
prosecuting authority, assisting with the
subsequent investigations
and advising on anti-corruption programs and
practices as a result.
Major pharmaceutical company
Advising a major
pharmaceutical client following a dawn raid by a
prosecuting authority, assisting with the
subsequent investigations
and advising on anti-corruption programs and
practices as a result.
SFO investifation
Advising a client in
connection with an investigation by the UK
Serious Fraud Office into suspected overseas
corruption. This included
managing the response to police enquiries and
requests for evidence, the company's internal
investigation.
SFO investifation
Advising a client in
connection with an investigation by the UK
Serious Fraud Office into suspected overseas
corruption. This included
managing the response to police enquiries and
requests for evidence, the company's internal
investigation.
Transport and Energy infrastructure business
Advising a world leader
company in transport and
energy infrastructure in respect of bribery carried
out by employees of the company seconded
abroad.
Transport and Energy infrastructure business
Advising a world leader
company in transport and
energy infrastructure in respect of bribery carried
out by employees of the company seconded
abroad.
US DoJ, SEC and FBI investigations
Advising a client on a corruption investigation
conducted by the US Department of Justice, the
SEC, the FBI and the
Hungarian authorities.
US DoJ, SEC and FBI investigations
Advising a client on a corruption investigation
conducted by the US Department of Justice, the
SEC, the FBI and the
Hungarian authorities.
Leading international food distributor
Advising a leading
international food distributor with respect to
FCPA matters arising out of a joint venture in Asia.
Leading international food distributor
Advising a leading
international food distributor with respect to
FCPA matters arising out of a joint venture in Asia.
Airline company
Coordinating the defence
of the shareholders, directors and statutory
auditors of an airline company in relation to
criminal proceedings
brought against them following the insolvency of
the company, including devising and implementing
strategy.
Airline company
Coordinating the defence
of the shareholders, directors and statutory
auditors of an airline company in relation to
criminal proceedings
brought against them following the insolvency of
the company, including devising and implementing
strategy.
16Hogan Lovells
Competition compliance experience
Industry and business associations
Competition law audits and establishment of
behavioural guidelines for numerous industry and
business associations
Industry and business associations
Competition law audits and establishment of
behavioural guidelines for numerous industry and
business associations
Gothaer AllgemeineVersicherung AG
Development of a
competition compliance programme and advice on
a cartel investigation
Gothaer AllgemeineVersicherung AG
Development of a
competition compliance programme and advice on
a cartel investigation
International paper and packaging manufacturer
Comprehensive compliance audit and
representation before competition law authorities
International paper and packaging manufacturer
Comprehensive compliance audit and
representation before competition law authorities
SAP AG
Development of a
competition compliance manual and corresponding
employee training
programme
SAP AG
Development of a
competition compliance manual and corresponding
employee training
programme
Cognis GmbH
Advice in competition compliance matters and
delivery of corresponding employee training
programmes
Cognis GmbH
Advice in competition compliance matters and
delivery of corresponding employee training
programmes
Metro Cash & Carry International GmbH
Training of the compliance
officer on various white collar crime and
competition law matters
Metro Cash & Carry International GmbH
Training of the compliance
officer on various white collar crime and
competition law matters
Speciality chemicals company
Audit and employee training programmes on
compliance und advice in competition law
infringement proceedings
Speciality chemicals company
Audit and employee training programmes on
compliance und advice in competition law
infringement proceedings
Nintendo Germany
Regular employee training
sessions on competition law matters as part of their
internal compliance
programme
Nintendo Germany
Regular employee training
sessions on competition law matters as part of their
internal compliance
programme
Boston Consulting Group
Advice on competition
compliance matters and training on how to behave
in dawn raid situations
Boston Consulting Group
Advice on competition
compliance matters and training on how to behave
in dawn raid situations
German Association of Research-Based Pharmaceutical Companies
Development of their compliance manual,
provision of regular
training sessions, monitoring association
meetings, providing competition law advice on
specific matters
German Association of Research-Based Pharmaceutical Companies
Development of their compliance manual,
provision of regular
training sessions, monitoring association
meetings, providing competition law advice on
specific matters
17Hogan Lovells
Labour law compliance experience (1)
International telecoms company
Establishment and updating of a code of
conduct / employee manual
International telecoms company
Establishment and updating of a code of
conduct / employee manual
German broadcasting company
Advising the personnel
department prior to and during a dispute with a
former managing editor
(suspicion of fraud, breach of trust, corruptibility and
bribery)
German broadcasting company
Advising the personnel
department prior to and during a dispute with a
former managing editor
(suspicion of fraud, breach of trust, corruptibility and
bribery)
European subsidiary of an American insurance company
Advising on and implementing a code of
conduct
European subsidiary of an American insurance company
Advising on and implementing a code of
conduct
German consulting company
Advice in connection with
a labour and competition law dispute with a number
of former employees
German consulting company
Advice in connection with
a labour and competition law dispute with a number
of former employees
Global real estate services group
Adaptation of the employee handbook in line
with German labour law and extensive review and
implementation of typical
compliance structures
Global real estate services group
Adaptation of the employee handbook in line
with German labour law and extensive review and
implementation of typical
compliance structures
International industrial insurance broker
Representation of the
company in connection with a dispute with former
employees (breach of
confidentiality with respect to company secrets)
International industrial insurance broker
Representation of the
company in connection with a dispute with former
employees (breach of
confidentiality with respect to company secrets)
American company
Comprehensive revision of their "Terms & Conditions
of employment" in respect of German labour law
American company
Comprehensive revision of their "Terms & Conditions
of employment" in respect of German labour law
Subsidiary of a German transport and logistics company
Provision of
comprehensive compliance advice
Subsidiary of a German transport and logistics company
Provision of
comprehensive compliance advice
German chemicals company
Carrying out a comprehensive labour law
compliance audit
German chemicals company
Carrying out a comprehensive labour law
compliance audit
German telecoms company
Advice on the termination
of employees due to accepting undue
advantages,
embezzlement, etc.
German telecoms company
Advice on the termination
of employees due to accepting undue
advantages,
embezzlement, etc.
18Hogan Lovells
Labour law compliance experience (2)
A multi-national company
workplace harassment and related employment
law training for employees and managers in Asia,
Europe, and the United
States.
A multi-national company
workplace harassment and related employment
law training for employees and managers in Asia,
Europe, and the United
States.
an educational client
planning for and
implementing reduction in force
an educational client
planning for and
implementing reduction in force
A nationwide marketing company
responding to claims of
sexual harassment, disability discrimination,
wage-and-hour violation, and other employment law
matters for its multistate
workforce
A nationwide marketing company
responding to claims of
sexual harassment, disability discrimination,
wage-and-hour violation, and other employment law
matters for its multistate
workforce
Professional services firms
conducting internal investigation of sexual
harassment complaints and in resolving requests
for accommodation of
disabilities
Professional services firms
conducting internal investigation of sexual
harassment complaints and in resolving requests
for accommodation of
disabilities
a human resources department of global financial services firm
an internal audit of all job classifications to assure
compliance with FLSA “white collar” exemptions
a human resources department of global financial services firm
an internal audit of all job classifications to assure
compliance with FLSA “white collar” exemptions
U.S. institutions of higher education
concerning personnel
practices related to secondment of U.S.
employees to Middle Eastern countries
U.S. institutions of higher education
concerning personnel
practices related to secondment of U.S.
employees to Middle Eastern countries
corporations and national non-profit organizations
forms of independent contractor, outsourcing,
and payrolling agreements
corporations and national non-profit organizations
forms of independent contractor, outsourcing,
and payrolling agreements
19Hogan Lovells
Banking compliance experience (1)
Iranian financial institution
Advice and representation
in the enforcement of its rights against the German
Federal Bank before the
administrative court in Munich
Iranian financial institution
Advice and representation
in the enforcement of its rights against the German
Federal Bank before the
administrative court in Munich
International credit institution
Advice on the adaptation of contract documentation
for various products and the related banking
regulatory reporting
obligations and transparency standards
and on further compliance topics (data protection,
money laundering, etc.)
International credit institution
Advice on the adaptation of contract documentation
for various products and the related banking
regulatory reporting
obligations and transparency standards
and on further compliance topics (data protection,
money laundering, etc.)
International financial institution
Advice on matters concerning separate
deposits in accordance with the German
Securities Trading Act in
relation to CFD activities
International financial institution
Advice on matters concerning separate
deposits in accordance with the German
Securities Trading Act in
relation to CFD activities
Dutch direct bank
Advice on the proposed market introduction of
credit and investment products in Germany
(permits, reporting
obligations and reporting in line with foreign trade
laws and the German Credit Services Act,
minimum reserves, own
capital, etc.)
Dutch direct bank
Advice on the proposed market introduction of
credit and investment products in Germany
(permits, reporting
obligations and reporting in line with foreign trade
laws and the German Credit Services Act,
minimum reserves, own
capital, etc.)
Dutch one-stop financial services provider
Advice on the application and granting of a banking
permit as well as the creation of a compliance
manual, anti money
laundering procedures and other internal
documentation (whistleblower
policy etc.)
Dutch one-stop financial services provider
Advice on the application and granting of a banking
permit as well as the creation of a compliance
manual, anti money
laundering procedures and other internal
documentation (whistleblower
policy etc.)
Swiss private bank
Advice on compliance with reporting obligations
according to nvestmentlaw, MiFID and FRUG
provisions in relation to
marketing documentation
Swiss private bank
Advice on compliance with reporting obligations
according to nvestmentlaw, MiFID and FRUG
provisions in relation to
marketing documentation
Scottish Bank
Advice on the introduction of the "Corporate Euro
Deposit Account" investment product and
fulfilment of the relevant
banking regulatory compliance provisions
Scottish Bank
Advice on the introduction of the "Corporate Euro
Deposit Account" investment product and
fulfilment of the relevant
banking regulatory compliance provisions
German credit institution
Advice on acquisition financing in connection
with foreign trade law and US lists
German credit institution
Advice on acquisition financing in connection
with foreign trade law and US lists
US pharmaceutical business
Acting for US pharmaceutical in relation
to an FDA investigation by the FSA into insider
dealing, market abuse and
systems and controls breaches
US pharmaceutical business
Acting for US pharmaceutical in relation
to an FDA investigation by the FSA into insider
dealing, market abuse and
systems and controls breaches
Swiss financial institution
Acting for a major Swiss financial institution in
relation to an investigation concerning alleged foreign
exchange irregularities
involving its Jersey subsidiary
Swiss financial institution
Acting for a major Swiss financial institution in
relation to an investigation concerning alleged foreign
exchange irregularities
involving its Jersey subsidiary
20Hogan Lovells
Banking compliance experience (2)
UK financial institutions
Acting in several
investigations into alleged
money laundering, including intervening in
and defending criminal proceedings and reviewing
the policies and
procedures of various UK financial institutions
UK financial institutions
Acting in several
investigations into alleged
money laundering, including intervening in
and defending criminal proceedings and reviewing
the policies and
procedures of various UK financial institutions
Multinational bank
Acting for a leading
multinational bank in an internal investigation of
improper issuance of mortgage loans by a bank
in Italy involving analysis
of compliance with regulatory requirements
and liaison with criminal counsel in view of possible
criminal sanctions/litigation
Multinational bank
Acting for a leading
multinational bank in an internal investigation of
improper issuance of mortgage loans by a bank
in Italy involving analysis
of compliance with regulatory requirements
and liaison with criminal counsel in view of possible
criminal sanctions/litigation
Global fund managers
Acting for global fund
managers in connection
with an investigation by the FSA into insider
dealing, market abuse and systems and controls
breaches
Global fund managers
Acting for global fund
managers in connection
with an investigation by the FSA into insider
dealing, market abuse and systems and controls
breaches
Investment bank
Acting for an investment
bank on a review of documentation in view of
the failure to launch a tender offer with respect to
potential claims/ litigation
by investors and Italian regulators.
Investment bank
Acting for an investment
bank on a review of documentation in view of
the failure to launch a tender offer with respect to
potential claims/ litigation
by investors and Italian regulators.
Investment adviser
Defended a well known
investment adviser in
connection with concurrent federal and state
securities class actions, as well as a related SEC
investigation.
Investment adviser
Defended a well known
investment adviser in
connection with concurrent federal and state
securities class actions, as well as a related SEC
investigation.
UK fund manager
Advising a UK based fund
manager in connection
with an investigation involving potential insider
dealing and market abuse arising out of trading on
the UK and French
exchanges. This included assisting in an internal
investigation and preparing witnesses for
interview by the FSA.
UK fund manager
Advising a UK based fund
manager in connection
with an investigation involving potential insider
dealing and market abuse arising out of trading on
the UK and French
exchanges. This included assisting in an internal
investigation and preparing witnesses for
interview by the FSA.
ING Barings
in relation to internal
investigations of the roles
of senior employees and management, and in
respect of official investigations carried out
by the Bank of England,
the Singaporean authorities and various
other regulatory bodies, involving lengthy dealings
with the investigators.
ING Barings
in relation to internal
investigations of the roles
of senior employees and management, and in
respect of official investigations carried out
by the Bank of England,
the Singaporean authorities and various
other regulatory bodies, involving lengthy dealings
with the investigators.
21Hogan Lovells
Tax compliance experience
International financialinstitution
Advice in an SEC and DoJ-led investigation on
German regulatory and tax matters (tax volume at
stake >€100m)
International financialinstitution
Advice in an SEC and DoJ-led investigation on
German regulatory and tax matters (tax volume at
stake >€100m)
Germany company
Tax audit – defence against allegation of
constructive dividends
Germany company
Tax audit – defence against allegation of
constructive dividends
International reinsurance group
Advice on the implemention of a
documentation system to evidence compliance with
German transfer pricing
requirements
International reinsurance group
Advice on the implemention of a
documentation system to evidence compliance with
German transfer pricing
requirements
German company
Advice on tax compliance issues of the
implementation of a management partici-pation
programme (communi-
cation with tax authorities)
German company
Advice on tax compliance issues of the
implementation of a management partici-pation
programme (communi-
cation with tax authorities)
German joint venturecompany
Advice during tax audit on transfer pricing documen-
tation: avoiding leakage of business secrets of one
shareholder with a view to
the other shareholder as a consequence of the tax
proceedings.
German joint venturecompany
Advice during tax audit on transfer pricing documen-
tation: avoiding leakage of business secrets of one
shareholder with a view to
the other shareholder as a consequence of the tax
proceedings.
Various
Tax residence and substance/activity
requirements for foreign companies with German
assets / shares in German
subsidiaries (long term consultancy)
Various
Tax residence and substance/activity
requirements for foreign companies with German
assets / shares in German
subsidiaries (long term consultancy)
Various
Mitigating withholding tax on dividends and other
payments by German subsidiaries to their
foreign shareholders (long
term consultancy)
Various
Mitigating withholding tax on dividends and other
payments by German subsidiaries to their
foreign shareholders (long
term consultancy)
About Hogan Lovells
23Hogan Lovells 23
About us
A new firm for a changing world
Hogan Lovells is a new global law firm created to help corporations, financial institutions and governmental
entities across the spectrum of their critical business and legal issues globally and locally. Bringing together
the combined strengths of our predecessor firms, we have over 2,500 lawyers operating out of more than 40
offices in the US, Latin America, Europe, the Middle East and Asia.
Hogan Lovells offers:
� a unique, high quality transatlantic capability, with extensive reach into the world's commercial and financial centers;
� particular and distinctive strengths in the areas of litigation and arbitration, corporate, finance,
government regulatory, and intellectual property; and
� access to a significant depth of knowledge and resource in many major industry sectors including
energy and natural resources, infrastructure, financial services, life sciences and healthcare,
telecommunications, media and technology, consumer, and real estate,
Our practice breadth, geographical reach and industry knowledge provide us with insights into the issues that
affect our clients most deeply and enable us to provide high quality business-oriented legal advice to assist
them in achieving their commercial goals.
A distinctive culture
Hogan Lovells is distinguished by a highly collaborative culture which values the contribution of our diverse
team both within the firm and in the wider community. Our style is unstuffy, service focused and friendly. We
believe that our commitment to client service, commerciality and team work provides benefits to our clients and enhances effective business relationships.
A transformative union.
Legal Week, October 2009
• A broadly-based business perspective
• Deep industry knowledge
• Exceptional geographic reach
• Excellent people with a great attitude
• Long-standing commitment to communities
What we offer
24Hogan Lovells
World map listing Hogan Lovells offices
www.hoganlovells.com
Hogan Lovells has offices in:
AlicanteAmsterdamBaltimoreBeijing
BerlinBoulderBrusselsBudapest*Caracas
ChicagoColorado SpringsDenverDubai
DusseldorfFrankfurtHamburgHanoiHo Chi Minh City
Hong KongHoustonJeddah*London
Los AngelesMadridMiamiMilanMoscow
MunichNew YorkNorthern VirginiaParis
PhiladelphiaPragueRiyadh*RomeSan Francisco
ShanghaiSilicon ValleySingaporeTokyo
WarsawWashington DCZagreb*
"Hogan Lovells" or the "firm" refers to the international legal practice comprising Hogan Lovells International LLP, Hogan Lovells US LLP, Hogan Lovells Worldwide Group (a Swiss Verein), and their affiliated businesses, each
of which is a separate legal entity. Hogan Lovells International LLP is a limited liability partnership registered in England and Wales with registered number OC323639. Registered office and principal place of business: Atlantic House, Holborn Viaduct, London EC1A 2FG. Hogan Lovells US LLP is a limited liability partnership registered in the District of Columbia.
The word "partner" is used to refer to a member of Hogan Lovells International LLP or a partner of Hogan Lovells US LLP, or an employee or consultant with equivalent standing and qualifications, and to a partner, member, employee or consultant in any of their affiliated businesses who has equivalent standing. Rankings and quotes from legal directories and other sources may refer to the former firms of Hogan & Hartson LLP and Lovells LLP.
Where case studies are included, results achieved do not guarantee similar outcomes for other clients. New York State Notice: Attorney Advertising.
© Copyright Hogan Lovells 2010. All rights reserved. DUSLIB01/352598
* Associated offices
