AGS Acker Görling Schmalz. Compliance Investigations / Internal Investigations

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1 AGS Acker Görling Schmalz Compliance Investigations / Internal Investigations

2 About AGS Legal Specialist law firm for dispute resolution, litigation and compliance in relation to employment law / company law / construction law / real estate law, based in Frankfurt and Berlin, with a staff of 35 professionals across the two offices. Our lawyers covering internal investigations / compliance investigations have been specialising in representing damaged parties and investigating complex cases of economic crime ( forensic services) since 2001 A long-standing tried and tested international network of cooperation partners Three of the lawyers at AGS are in the top ten lawyers in the field of compliance investigations in Germany (JUVE Handbook of German Commercial Law Firms 2013/2014, page 292); they also feature in other rankings (WiWo, Focus) Legal Expertise Forensic services / compliance Real estate law Employment law Company law Forensic Expertise Investigations Forensic accounting Research / due diligence IT forensics Asset tracing / asset recovery Compliance consultancy 2

3 Typical cases Corruption, breaches of trust, fraud: Fact finding, judicial and extrajudicial representation of damaged companies; representing the interests of damaged parties vis-àvis investigating authorities Fraudulent insolvencies: Investigation of shifts of assets, in particular by means of bookkeeping records, finance and accounting; asset tracing (national/international), seizure of assets, revocatory actions, levy of execution, support for inquiries by the Public Prosecutor's Office Disasters, accidents, special investigations: Investigation/fact finding in exceptional cases Balance-sheet manipulation: Uncovering fictitious transactions, inflated goodwill, off-balance sheet liabilities, dubious business transactions, identification of fictitious creditors, cash flow analyses Post M&A disputes due to fraud: Representation of damaged parties in cases involving fraudulently concealed defects in transactions 3

4 Testimonials German logistics corporation for the carriage of passengers and goods Internationally active engineering firm for construction planning and coordination Global US automobile manufacturer International market leader in the field of operating systems and standard software Innovative communications technology company Municipal utility company of a major German city Leading company in the packaging industry Rapidly growing drugstore chain Swedish furniture store chain Well-known German insolvency administrator Major audit & accounting firm Several large banks in Germany and abroad 4

5 Why AGS Legal? We handle internal investigations, including gathering evidence that can be used in court as well as also securing and enforcing claims identified in the process everything handled under one roof and with no inefficiencies from A to Z, start to finish We also digitise and evaluate very extensive paper archives and mass electronic data with our proprietary software Our efficient reporting: our final investigation reports can be incorporated (via the copy and paste function) into statements of claim, criminal charges, briefs for employment tribunals and written claims to insurance companies, etc. We regularly argue the case based on the findings of our investigations before civil and criminal courts ourselves We work in close collaboration with the investigating authorities in the interests of our clients We trace seizable assets, and secure and enforce claims both in and out of court on a national and international basis 5

6 Our interdisciplinary approach Our team is made up of specialists who personify the core competencies needed for successful investigations (law, business economics, criminology, information technology and research) At the very outset of each project we tailor our approach so that not only do we clarify the facts but also identify and obtain all the evidence for the civil or criminal proceedings We offer compliance investigations from start to finish as an integrated one-stop shop product, thereby avoiding interface problems and costly inefficiencies Our competitors Phase 1 Phase 2 Phase 1 and Phase 2 Us Fact finding via the following service providers: Enforcement of claim via the following service providers: Fact finding, securing and enforcement of claim Forensic specialist Auditor Lawyer for data protection Experts Lawyer for criminal law Lawyer for civil law Lawyer for employment law Private investigators 6

7 Our methodology Communication Strategy development / development of the investigative approach Prevention Assembling the team Accompanying actions Operational implementation Reporting 7

8 Our methodology Strategy development / development of the investigative approach: For every single case we develop an individual strategy and, in particular, also develop an appropriate investigative approach for the internal investigations; we present our strategic concept to our client and adopt it jointly Assembling the team: For every case we put together a team of specialists, headed by a legal expert, suitable for implementing the strategy for the case in hand; in some cases this may be a one-man team in major, wide-ranging cases, we can also, where necessary, put together very large teams 8

9 Our methodology Operational implementation: The team leader is responsible for successfully implementing the adopted case strategy and leading the team; in most cases the starting point for our internal investigations is collecting and evaluating the following types of information from four information sources: 1) Data from the bookkeeping records, or finance and accounting 2) Available correspondence and project file 3) s 4) Interviews with employees and external personnel Reporting We keep our clients informed of the progress of the project on an ongoing basis via reports/written interim reports and produce a final report at the end of our investigations that is generally structured such that it can be used unchanged to draw up criminal charges and statements of claim, or be presented in court as the substantiation of a claim. 9

10 Our methodology Accompanying actions: If, in the course of our internal investigations, we identify evidence for claims for damages we immediately take measures under civil law, in consultation with our clients, to secure the claims in Germany and abroad (seizures of assets, interlocutory injunctions, etc.). If the Public Prosecutor's Office is holding or initiates investigations we draw up qualified criminal charges, coordinate and handle the collaborative efforts with the investigative authorities and protect our clients' interests in criminal proceedings. Prevention: Upon concluding our internal investigations we make specific recommendations for avoiding tortious or non-compliant behaviour in future. 10

11 Our methodology Communication: Throughout the entire investigation we communicate with the designated contact person via the most direct route, prepare written interim reports and give presentations in meetings of the Board of Directors, Management Board and Supervisory Board. 11

12 Your contact: Dr Helmut Görling Appointed to the bar of Frankfurt, he has conducted very high-profile major cases; formerly a detective superintendent with the criminal investigation department of Hesse; very experienced in conducting investigations, and securing and enforcing claims Dr Jan Kappel Appointed to the bar of Frankfurt; he is a very experienced investigation specialist and an expert in international criminal law. Dr Dirk Seiler Appointed to the bar of Frankfurt, he has been exclusively supporting damaged companies for 10 years through investigating and handling complex cases of economic crime; a former criminal defence lawyer; a specialist lawyer for criminal law. Dr Claas de Boer, LL.M. (AUS) Appointed to the bar of Berlin, he is a seasoned investigation specialist; he represents AGS Legal in the International Fraud Group Arno Hess A graduate in business economics (university of applied sciences) and certified fraud examiner; formerly a forensic specialist at big four audit and accounting firms 12

13 What others have to say about us FOCUS ranking AGS Legal is one of the top law firms for compliance in 2013 (in second position) AGS Legal is one of the top law firms for commercial criminal law AGS Legal is ranked as one of the top 50 law firms for commercial matters in 2013 JUVE (Verlag für juristische Information GmbH) JUVE Handbook 2013/2014: AGS Legal again ranks as one of the top five law firms for compliance investigations Dr Helmut Görling ( smooth enforcement of corporate interests, sound advice ), in a class of his own when it comes to devising and presenting a criminal 'business model' that stands up in court, a competitor) Dr Jan Kappel ( straightforward, highly evolved expertise, a competitor) Dr Dirk Seiler ( sound expertise, a structured and solutions-oriented approach, a competitor) CHAMBERS EUROPE Outstanding, well known litigator (Wendelin Acker; Chambers Europe 2012) THE LEGAL 500 Legal 500 Germany 2014: AGS Legal is one of the top five law firms for commercial criminal law HANDELSBLATT Best Lawyers in Germany in 2013 (Wendelin Acker, Gerhard Schmalz; edition of 11/06/2013) WIRTSCHAFTSWOCHE Award for the Top Lawyer for Compliance : Wendelin Acker, Dr Helmut Görling, Dr Dirk Seiler (edition 16/2012) Award for the Top Lawyer for Commercial Criminal Law : Dr Helmut Görling (edition 14/2011) Görling Acker & Partners (now AGS Legal) is one of the best law firms for construction law 13

14 Frankfurt Bockenheimer Landstraße Frankfurt am Main Tel / Fax / Berlin Atrium Friedrichstraße Friedrichstraße Berlin Tel / Fax / Commercial Criminal Law Compliance Top Law Firm for Compliance Top Law Firm for Compliance Investigations 14