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Compliance, Business, Ethics and Global Investigations in Paris

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Mayer Brown’s Compliance team in Paris assists clients in areas such as corporate governance; ethics; anti-bribery and anti-corruption measures; financial regulations, including those related to money laundering and terrorism financing; data privacy and protection; and duty of care.

In light of Sapin II and other recent legislative and political developments in France, as well as at the European and international levels, businesses need the comprehensive compliance services that our lawyers provide. We have the extensive experience and necessary skills to address complex matters arising under the laws of France, the United States, England and Wales, Canada and other jurisdictions.

Ethics, Business, Anti-Bribery and Corruption (ABC)

We advise our clients on compliance programs required by anti-corruption and anti-money laundering laws of France, the United States (“FCPA” or “Foreign Corrupt Practices Act”), the United Kingdom (UK Bribery Act), other European countries and other jurisdictions. Our partners have considerable experience, with many having previously served within regulatory or judicial authorities handling corruption, fraud and money laundering matters, such as the DOJ (US Department of Justice), SEC (US Securities and Exchange Commission), the AMF (Autorité des Marchés Financiers) and government prosecution offices.

Experience in France and abroad:

  • Implementation and review of compliance programs
  • Drafting codes of conduct or vigilance plans
  • Development and deployment of global risk mappings
  • Implementation of whistleblowing programs
  • Advice on lobbyists’ obligations
  • Implementation of disciplinary regimes related to compliance requirements
  • Implementation of KYC (know your customer), KYS (know your supplier) and KYP (know your party) processes and of accounting procedures and review of contracts
  • Deployment of global training
  • Implementation of follow-up programs to supervise the adoption of required compliance measures
  •  Management of internal investigations and requests for information from regulators
  • Assistance and intervention on the occasion of controls and investigations conducted by competent authorities as well as in criminal prosecutions
  • Counsel and representation in relation to Judicial Agreements in the Public Interest (“Conventions Judiciaire d’intérêt Public” or “CJIP”) or a foreign Deferred Prosecution Agreement (DPA)
  • Advice in relation to the FCPA, UK Bribery Act, World Bank Directives, OECD (Organisation for Economic Co-operation and Development) principles, ISO37001 and 26000 and any other local legislation
  • Addressing specific implementation challenges, in particular in an international context (e.g., blocking statutes and French and foreign data protection laws).

Mayer Brown assists our clients in both the implementation of internal prevention tools and in connection with responding to investigations conducted by regulators or competent authorities.

Anti-Money Laundering (AML), Combating the Financing of Terrorism, Other Financial Regulations, Data Protection and Fintech

  • Measures to prevent and address allegations of money laundering and the financing of terrorism
  • Implementation of KYC compliance and on-boarding policies
  • Advice on the Fourth and Fifth Money Laundering Directives (“4MLD” and “5MLD”) and legislative follow-up in more than 80 countries worldwide
  • Counsel on the Markets in Financial Instruments Directive II (MiFID II), Markets in Financial Instruments Regulation (MiFIR), Alternative Investment Fund Managers Directive (AIFMD), European Market Infrastructure Regulation (EMIR), Payment Services Directives (PSDs), Basel Committees, Volcker Rule and the French law on the separation of banking activities
  • Advice on the protection of personal data in relation to the implementation of the EU General Data Protection Regulation (GDPR)
  • Counsel on blockchain and other distributed ledger technologies, cryptocurrencies, ICOs (initial coin offerings) and any regulatory development in the fintech space

Global Investigations, Internal Investigations and Crisis Management

  • Assistance on investigations conducted by French, foreign or cross-border authorities, as well as on internal investigations or monitoring to detect breaches to any anti-corruption, anti-money laundering or other financial regulation or legislation. We:

- Collect and review relevant documents
- Coordinate legal and compliance teams’ work
- Interview executives, former and current employees
- Offer know-how in managing complex internal investigations, including with respect to the confidentiality of personal data, labor laws and blocking statutes

  • Guidance on responding to international investigations conducted by the World Bank
  • Recommendations to boards of directors and management on compliance with investigation outcomes
  • Drafting contracts compliant with anti-corruption rules in order to mitigate risks
  • Assistance and advice on managing a major crisis, including reputation management, setting up crisis units, indentifying a communication axis, collaborating with various actors and recommending new procedures
  • Assistance and representation before regulatory and judicial authorities in connection with indictments or prosecutions related to allegations of breaches of anti-corruption laws in many countries (e.g., the United States, United Kingdom, Brazil, other Latin American countries), which may include:

- Determining the scope of the prosecution and structuring a defense strategy
- Negotiating the investigation scope and responding to requests for documentation, in particular with respect to blocking statutes and the Hague Convention
- Providing representation during hearings and preparing statements of case and other submissions
- Negotiating settlement agreements
- Negotiating Judicial Agreements in the Public Interest (“Conventions Judiciaires d’intérêt Public” or “CJIP”) and Deferred Prosecution Agreements (DPA)

  • Intervention by our partners who previously served within administrative or judicial authorities in charge of the fight against corruption, such as government prosecution offices and the DOJ, SEC, FCA (UK Financial Conduct Authority), SFO (UK Serious Fraud Office), AMF, ACPR (Autorité de Contrôle Prudentiel et de Résolution), AFA (Agence Française Anticorruption) and HATVP (Haute Autorité pour la Transparence de la Vie Publique)
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