Compliance & Internal Investigation

INTERNAL INVESTIGATIONS

We assist companies, financial institutions, wealth managers, family offices, and fiduciaries facing sensitive situations that require focused and confidential internal investigations.

Our approach combines agility, discretion, and legal rigour, specifically tailored to the needs of small and mid-sized organisations. We intervene both preventively (risk assessments, compliance structures) and reactively (internal investigations, crisis management, regulatory responses).

CONDUCTING INTERNAL INVESTIGATIONS

• Planning and execution of internal investigations relating to suspected fraud, corruption, internal breaches or misconduct,
• Assessment of internal practices for compliance with applicable laws and regulations,
• Documentation and follow-up of findings for potential reporting to oversight bodies or regulatory authorities.

REGULATORY AND DISCIPLINARY SUPPORT

• Preparation for potential audits, dawn raids or proceedings initiated by Swiss or foreign authorities (FINMA, tax authorities, criminal prosecutors),
• Legal support in the context of disciplinary, administrative or regulatory procedures.

COMPLIANCE AND RISK PREVENTION

• Implementation and reinforcement of internal policies: codes of conduct, whistleblowing frameworks, escalation and control procedures,
• Review and improvement of existing compliance systems to prevent legal and reputational risks.

AGILE STRUCTURE AND TARGETED EXPERTISE

• Our boutique structure ensures a responsive, hands-on approach tailored to each client’s profile and challenges,
• When needed, we build bespoke project teams by drawing on the specialised expertise of our other practice groups (white-collar crime, litigation, corporate law, etc.) and selected external partners (forensic experts, auditors, investigators)

The investigation team is led by our partner Raphael Schindelholz, jointly with other partners active in the relevant practice groups depending on the specificities of each investigation case.