Investigations & Enforcement

NKF’s investigations & enforcement lawyers have broad experience in conducting transnational, multi-jurisdictional internal regulatory and white collar crime investigations as well as in defending clients in governmental investigations, enforcement proceedings by Swiss and foreign supervisory authorities, and related civil disputes. We give strategic legal advice on sensitive matters, anti-money laundering, regulatory misconduct, employee wrongdoing, fraud prevention and detection, banking secrecy breaches, bribery and kick-backs, insider trading and market manipulation, tax evasion issues, competition law/antitrust, compliance violations, cybercrime and sanctions matters. We typically advise our clients at Group General Counsel, CEO and Board Member level.

Apart from complex regulatory aspects, our lawyers have a profound understanding of the technical challenges and possibilities of artificial intelligence capabilities used in investigations. We maintain established professional relationships with related service providers such as forensic and cybercrime experts, accountants and auditors. We are well aware of the investigative methods used by regulators and criminal prosecutors and have excellent insight into relevant regulators, prosecutors and similar authorities. A number of our lawyers hold distinct memberships in professional organisations such as the International Compliance Association (ICA) and the Association of Certified Fraud Examiners (ACFE) by which they have been accredited as Certified Fraud Examiner.

Experience:

  • Representing financial institutions, corporate organisations and their executives in regulatory enforcement proceedings
  • Assisting and representing in large-scale internal, cross-border, multi-jurisdictional financial services regulatory investigations
  • Establishing compliance programmes for bribery and kick-back regulations as well as fraud prevention and detection, and employee misconduct
  • Representing corporates and individuals in insider trading and market manipulation investigations or enforcement proceedings
  • Supporting clients in connection with Swiss blocking statutes, banking secrecy, data protection issues, anti-money laundering and sanctions matters.