Practice Area
Legal Compliance & Investigations
Legal advisory for businesses and organisations on regulatory compliance, internal investigations and complex misconduct matters, supporting the identification, assessment and management of legal and regulatory risks.
Overview
We advise businesses and organisations on legal and regulatory compliance, helping them understand their obligations, assess areas of exposure and develop practical frameworks for managing compliance risks across their operations.
Our work extends from the review and development of compliance policies and internal controls to legal support in internal investigations involving suspected misconduct, fraud, conflicts of interest and other potential regulatory or contractual breaches.
Where concerns arise, we support clients in assessing the legal implications, preserving the integrity of the investigation process and determining appropriate legal and remedial responses. In cross-border matters, we also consider the interaction between different regulatory regimes and coordinate with local counsel and specialist advisers where required.
Key Areas of Work
Legal & Regulatory Compliance Advisory
Compliance Frameworks, Policies & Procedures
Internal Compliance Investigations
Corporate Misconduct & Internal Fraud
Anti-Bribery & Corruption Compliance
Conflicts of Interest & Related-Party Compliance
Regulatory Violations, Decisions & Challenges
Cross-Border Regulatory Compliance Advisory
Selected Experience
Experience across compliance, investigations and regulatory matters
A selection of matters and projects reflecting the experience of the Lawarche legal team, including work undertaken by our consultants in senior roles prior to joining the firm.
Legal & Regulatory Compliance Advisory — GCC
Advised a range of GCC businesses on legal and regulatory compliance, including the development of comprehensive internal compliance capabilities and the implementation of compliance requirements arising from new legislation and regulatory changes.
Compliance Frameworks, Policies & Procedures
Advised commercial and FinTech businesses on developing and updating internal compliance frameworks, policies and procedures tailored to their regulatory requirements and activities, including Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF) policies and updates required by legislative developments and regulatory authorities.
Governance & Compliance Investigation — Saudi Arabia
Conducted a legal investigation into alleged governance and compliance violations by a director of a Saudi family-owned financing company with capital exceeding approximately £20 million, including potential breaches of the company’s governance requirements and compliance rules issued by the Saudi Central Bank.
Internal Financial Misconduct Investigation — GCC
Conducted a legal investigation into internal financial misconduct exceeding approximately £300,000 at a GCC sports club arising in the context of non-compliance with the club’s internal governance requirements.
Conflict of Interest & Related-Party Transactions — Saudi Arabia
Reviewed related-party transactions exceeding approximately £6 million entered into between a director of a family-owned company and other companies in which the director held ownership interests, assessing their compliance with the shareholders’ agreements, family constitution and the company’s governance requirements.
Regulatory Violations & Challenges — GCC
Advised businesses on regulatory violation decisions issued by regulatory authorities, including successfully challenging a violation decision against a director of a family-owned company concerning alleged breaches of governance requirements. We have also supported the successful administrative and judicial challenge of regulatory violation decisions, working with local law firms where required.
Discuss Your Compliance or Investigation Matter
Speak with our team about regulatory compliance, internal investigations, corporate misconduct and complex compliance matters.