Compliance and Investigations

Sustainably Protecting Your Corporate Reputation

We help you to meet the high requirements of modern governance and compliance for the benefit of your company by conducting internal investigations or providing you with support in national and international regulatory investigations.

In our team you can rely on the best of both worlds: on attorneys with a wealth of long-standing experience as general counsel and corporate secretary in the world of business, and on attorneys with proven expertise in conducting and supporting internal and regulatory investigations.

We take care of challenging governance and compliance mandates such as the execution of compliance audits with the preparation of an audit report which will include recommendations, external investigations into compliance infringements, and the drafting and implementation of customized concepts. We support and advise clients in internal corporate investigations, particularly where violations of domestic and foreign supervisory laws , or accusations regarding infringements of domestic and foreign anti-corruption provisions, antitrust and competition law, tax law, criminal law and data protection are concerned.

Our sense of proportion, practical approach and holistic solutions tailored to internal company needs and their specific circumstances are held in high esteem.


Reference Cases

  1. Compliance assessment with interviews
    A compliance assessment was carried out including an analysis of the relevant processes, guidelines and documents and structured interviews, then the results were presented to the board of directors and management of the organisation concerned, e.g. a hospital (15 interviews), an energy firm (40 interviews) and a chemical company (70 interviews).

  2. Compliance assessment with an online tool
    A compliance assessment was carried out for an international production company based abroad using the online tool Complerify (with 75 participants) in order to identify the strengths and weaknesses of the firm's existing compliance management system.

  3. External investigation
    An external investigation was carried out at a company in the hospitality sector in response to anonymous allegations. This involved an analysis of the relevant processes and documents and around 20 interviews with individuals selected at random from all levels of the hierarchy. A report was then presented to the company's board of directors and management.

  4. Business partner evaluation
    Compliance-related requirements were embedded into an existing supplier evaluation process for a technology company by conducting workshops and actively involving its legal, IT and purchasing departments.

  5. House searches
    Relevant documents and checklists were drawn up and regular training sessions were carried out for a pharmaceutical company to ensure appropriate behaviour in the event of any house searches. The sessions were held at several locations and involved around 30 people.

  6. Outsourcing
    An external contact centre was set up for a company with branches all over Switzerland to enable internal and external individuals to report violations or ask questions about compliance, including anonymously. Messages were received, a triage procedure carried out and legitimate concerns forwarded to the relevant office at the company within 24 hours of receipt. Reports on the number and content of messages received and what action was taken were issued on a half-yearly basis.

  7. HR processes
    Support was provided to help embed compliance-related requirements into new and existing HR processes at a company in the healthcare sector. Compliance and integrity were given appropriate consideration in all HR processes.

  8. Guidelines
    Guidelines and training documents on topics such as competition, bribery and data protection were drawn up and implemented for a company in the textile industry and one in the food industry.

  9. Risk assessment
    Various agency, partnership and employment contracts and the accounting processes used by a group of companies in the dye sector were assessed with regard to potential risks (e.g. competition, bribery, tax) and specific recommendations were made concerning payment processes, including drawing up specimen contracts.

  10. Training
    Compliance training sessions were prepared and carried out for an IT company, providing a basic understanding of compliance-related topics and using practical examples and dilemma scenarios to illustrate them.

  11. Code of conduct
    A tailored code of conduct was drawn up for a company in the automotive industry.

For further information please consult our > flyer «Compliance à la carte» (PDF).

Are you interested in analysing the relevant compliance dimensions of your firm? Please follow the Link to > «Complerify», our web-based and easily applied survey tool.

Publications

Presentation Rückblick auf die ersten drei Monate der DSGVO - Erfahrungen aus der Praxis Rüedi Pascal, in: Kundenanlass der ImageWare AG, 30. August 2018

Publication Aufsichtsrechtliche Sorgfaltspflichten einer Bank bei einer reinen Depotbeziehung Ceregato Mirco, Powell Julian, in: ius.focus 04/2018, S. 16

Publication Das Bankkundengeheimnis und die Geldwäschereibekämpfung Beuret Arnaud, in: Jusletter vom 16. April 2018

Publication Strafprozessordnung soll prozesstauglicher werden Dunjic Ivan, in: Jusletter, 12. März 2018

Publication Wie steht es um Ihre Compliance? Wind Christian, in: Deutscher Arbeitgeber Verband, www.deutscherarbeitgeberverband.de, Februar 2018

Publication Leitfaden Compliance - pragmatisch und ganzheitlich Wind Christian, Bern, 2018

Publication FINMA-Watchlist: nur Aufnahme von erhärteten und zuverlässigen Angaben durch die FINMA; Anspruch auf Löschung bejaht Ceregato Mirco, Mühlemann Kim, in: ius.focus 06/2017, Nr. 150, S. 16 

Publication Kommentierung: Art. 9a, 16 und 29-32 GWG Beuret Arnaud, in: Kunz Peter V./Jutzi Thomas/Schären Simon (Hrsg.), Geldwäschereigesetz (GwG) - Stämplis Handkommentar, 1. Auflage, Bern 2017

Publication Das Schweizerische Geldwäschereibekämpfungsdispositiv und seine Neuerungen Beuret Arnaud, in: Jusletter vom 23. Februar 2015

Presentation Was ist Compliance - ein Überblick Weber Rolf H., in: Europa Institut an der Universität Zürich (EIZ) Seminar, Präsentation vom 18. November 2014

Presentation Kartellrecht vor Gericht - Durchsetzungs- und Abwehrstrategien bei Kartellschäden von Unternehmen in der Schweiz Moser Martin, in: Kartellrechtsdialog 2013, Präsentation vom 5./24. September 2013

Presentation Gründerhaftung - Vorratsgründung und Mantelhandel. Jörg Florian S., in: St. Galler Gesellschaftsrechtstag, Präsentation vom 8. Mai 2013

Presentation Trennung von Topkader- und Kader-Mitarbeitenden Moser Martin, Veranstaltung der Grass & Partner AG, Präsentation vom 24. November 2011

Presentation Strategie in einer Rechtsabteilung - Legal strategy hands on - how does it work now? Wind Christian, Management for the Legal Profession MLP-HSG, Modul 1 “Strategie” der Executive School of Management Technology and Law (ES-HSG), Universität St. Gallen, Präsentation vom 8. September 2011

Publication Ausservertragliche Haftung der Bank wegen Geldwäscherei - Besprechung des Bundesgerichtsentscheids BGE 4A_594/209 vom 27. Juli 2010 Ceregato Mirco, in: ius.focus 10/2010, Nr. 257, S. 13

Publication IN-HOUSE COUNSEL in internationalen Unternehmen Christian Wind, hrsg. zusammen mit Beat Hess/Andreas L. Meier/Reto Schiltknecht/Sylvie Hambloch-Gesinn, Basel 2010

Publication Whistleblowing als Risikokommunikation Rieder Stefan, in: Handelszeitung vom 28. April 2009, 18/2009, S. 17

Publication Schutz für Whistleblower - Kommentar zum Gesetzesentwurf Rieder Stefan, in: Jusletter vom 20. April 2009

Publication Als General Counsel wieder auf die Schulbank? Wind Christian, in: Schweizerische Juristen Zeitung (SJZ), 10/2008, S. 248-249

Presentation IKS und Risikobeurteilung im neuen Revisionsrecht Moser Martin, in: Veranstaltung des Schweizerischen Instituts für Verwaltungsräte und Geschäftsleitungsmitglieder, Präsentation vom 21. November 2007

Presentation Neuordnung der Revision – Verwaltungsrat und Revisionsstelle in der Pflicht Moser Martin, in: Treuhand Kammer (Sektion Zentralschweiz), Präsentation vom 12. März 2007

Publication Das IKS und die Bedeutung des (Legal) Risk Management für VR und Geschäftsleitung im Lichte der Aktienrechtsreform 2007 Wyss Lukas, in: Schweizerische Zeitschrift für Wirtschafts- und Finanzmarktrecht (SZW) 1/2007. S. 407-421

Publication Risikobewältigung im Unternehmen Wyss Lukas, in: CH-D Wirtschaft 5/2006, S. 10-11

Presentation Neuordnung der Revision – Verwaltungsrat und Revisionsstelle in der Pflicht Moser Martin, in: Stämpfli Symposium zur „Neuordnung der Revision“, Präsentation vom 11. Mai 2005

Publication Liability of Board Members and Management in Product Liability Cases in Switzerland Wyss Lukas, in: International Law Office, Newsletter vom 4. Mai 2006

Publication Juristisches Risk Management und Hedging als Mittel zur Risikokontrolle im Rahmen von internationalen Wirtschaftstransaktionen und -projekten Wyss Lukas, Diss. Bern 2005

Publication Risk Management und Hedging als Aufgaben des Wirtschaftsanwaltes Wyss Lukas, in: recht 3/2005, S. 86-104

Publication Corporate Governance für KMU Moser Martin, in: KMU Business 2/2005, S. 16 ff.

Presentation Umstrukturierungen im Leben einer Unternehmung – steuerliche und rechtliche Aspekte Moser Martin, zusammen mit Spori Peter und Hürzeler Donatus, in: Veranstaltung „Das neue Fusionsgesetz“ des Handels- und Industrievereins des Kantons Bern gemeinsam mit Ernst & Young, Präsentation vom 23. März 2004

Publication Die Vermögensübertragung Moser Martin, in: EY Law (Hrsg.), Das neue Fusionsgesetz, Zürich 2004, S. 42 ff.    

Publication Rechtliche Risiken in den Griff bekommen - juristisches Risk Management gewinnt an Bedeutung Wyss Lukas, in: Office Suisse d’Expansion Commerciale (Heute: Switzerland Global Enterprise), Zürich 2002

Publication Corporate Governance Eisenring Martin, in: Manager Bilanz vom 28. Feburar 2002

Publication Gefordertes juristisches Risk Management - Absicherung des Unternehmens gegen externe Faktoren Wyss Lukas, in: Neue Zürcher Zeitung vom 22. Oktober 2002

Publication Corporate Governance - Bedeutung für kleine und mittlere Unternehmen Moser Martin, in: Der Bund vom 14. Juni 2002, 136/2002, S. 21

Publication Die Grenzen der Beratung durch die Revisionsstelle - Wo sind die Grenzen gemäss Art. 727c Abs. 1 OR? Wind Christian, in: Der Schweizer Treuhänder, 1-2/1999, S. 81 ff.

Publication Die ISO-9000-Zertifizierung von Anwaltskanzleien und das Anwaltsgeheimnis Beutter Christian, in: Aktuelle Juristische Praxis (AJP) 12/1998, S. 1403 -1409

Publication Die Unabhängigkeit der Revisionsstelle gemäss Art. 727c Abs. 1 OR Wind Christian, Schriftenreihe der Treuhand-Kammer, Bd. 160, Diss. St. Gallen 1998

Publication Die genossenschaftsrechtliche Verantwortlichkeit Blickenstorfer Kurt, in: Schweizer Schriften zum Handels und Wirtschaftsrecht, Bd 91, Diss. Zürich 1987

Events

Christian Wind
Mirco Ceregato

Compliance is costly, but can your company afford non-compliance?

Christian Wind, Co-Head of the Compliance and Invetigations Practice Group

Mirco Ceregato, Co-Head of the Compliance and Invetigations Practice Group



Our team, your specialists.

Our team, your specialists.

Mirco Ceregato

Co-Head
lic. iur. HSG, LL.M., CAS in Liability and Insurance Law
Attorney-at-Law
Partner
Member of the Board of Directors
St.Gallen
German, English

Mirco Ceregato

Co-Head
lic. iur. HSG, LL.M., CAS in Liability and Insurance Law
Attorney-at-Law
Partner
Member of the Board of Directors
St.Gallen
German, English

T +41 58 258 14 00
mirco.ceregato@bratschi.ch

Christian Wind

Co-Head
Dr. iur. HSG, LL.M., EMBA IMD
Attorney-at-Law
Partner
Zurich
German, English

Christian Wind

Co-Head
Dr. iur. HSG, LL.M., EMBA IMD
Attorney-at-Law
Partner
Zurich
German, English

T +41 58 258 10 00
christian.wind@bratschi.ch

Liv Bahner

LL.M., Maître en Droit
Attorney-at-Law
Zurich
German, English, French

Liv Bahner

LL.M., Maître en Droit
Attorney-at-Law
Zurich
German, English, French

T +41 58 258 10 00
liv.bahner@bratschi.ch

Michael Alexis Barrot

lic. iur., LL.M., Certified Tax Expert
Attorney-at-Law
Partner
Zurich
German, English, French

Michael Alexis Barrot

lic. iur., LL.M., Certified Tax Expert
Attorney-at-Law
Partner
Zurich
German, English, French

T +41 58 258 10 00
michael.barrot@bratschi.ch

Ivan Dunjic

M.A. HSG in Law
Attorney-at-Law and Notary public
St.Gallen
German, English, Spanish, Croatian, Serbian

Ivan Dunjic

M.A. HSG in Law
Attorney-at-Law and Notary public
St.Gallen
German, English, Spanish, Croatian, Serbian

T +41 58 258 14 00
ivan.dunjic@bratschi.ch

Stefan Rieder

Dr. iur. HSG, LL.M., Certified Specialist SBA Employment Law
Attorney-at-Law and Notary public
Partner
St.Gallen
German, English

Stefan Rieder

Dr. iur. HSG, LL.M., Certified Specialist SBA Employment Law
Attorney-at-Law and Notary public
Partner
St.Gallen
German, English

T +41 58 258 14 00
stefan.rieder@bratschi.ch