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The 4th Edition of the Compliance Management Handbook Published

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The fourth edition of the Handbook Compliance Management was published earlier this year. The editors are Prof. Dr. Roland...

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The fourth edition of the Handbook Compliance Management was published earlier this year. The editors are Prof. Dr. Roland Steinmeyer (Compliance & Investigations, Berlin) together with renowned economists Prof. Dr. Stephan Grüninger and Prof. Dr. Josef Wieland.The handbook addresses the latest developments in key areas such as artificial intelligence, geopolitics, and ESG standards. Other key topics include recent trends in anti-corruption and sanctions law, the enforcement of human rights in global supply chains, measures against harassment and discrimination, issues of integrity and compliance culture, the role of supervisory boards, and emerging technological developments.Alongside the three editors, numerous renowned experts from companies, law firms and auditing firms have contributed to this edition, including several colleagues from Morrison Foerster:<ul><li>Tim Bartels (Compliance & Investigations, Berlin)</li><li>Rachel K. Davidson Raycraft (Litigation, Washington, D.C.)</li><li>Charles E. Duross (FCPA & Global Anti-Corruption, Washington, D.C.)</li><li>Alexander Eisenfeld (Sanctions, Berlin)</li><li>Dr. Patricia Ernst (Compliance & Investigations, Berlin)</li><li>Dr. Jens Hackl (Antitrust, Berlin)</li><li>Dr. Felix Helmstädter (Sanctions, Berlin)</li><li>Nicholas W. Kennedy (Litigation, Washington, D.C.)</li><li>James Koukios (Investigations & White Collar Defense, Washington, D.C.)</li><li>John E. Smith (Sanctions, Washington, D.C.)</li><li>Dr. Jakob Tybus (Compliance & Investigations, Berlin)</li></ul>Further information can be found on the <a href="/resources/insights/251007-the-4th-edition-of-the-compliance-management-handbook-published" target="_self">website</a>.

The 4th Edition of the Compliance Management Handbook Published

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Roland advises on national and international corporate matters. He has more than 35 years of experience in the areas of regulatory compliance, internal investigations, and corporate governance law. His practice focuses on board counseling as well as on German and U.S. compliance requirements, such as matters involving the FCPA, and on corporate litigation matters. He also advises clients on a range of cross-border government enforcement and other compliance and corporate matters, the structuring of compliance programs, follow-on litigation, and D&O insurance coverage.Roland is an honorary professor at Konstanz University for Technology, Economics and Design, and a member of the Konstanz Institute of Corporate Governance. He is a member of the Examination Board for Chartered Accountants.Roland is frequently recommended in legal directories including Chambers Global, Legal 500, and Best Lawyers. Since 2006, he is recommended in JUVE, one of Germany’s main legal directories, as a “Leading Individual” for Corporate and M&A. JUVE also notes that he is “incredibly versed” and that he “constantly works on a very high level”. WirtschaftsWoche ranked him as “TOP Lawyer” for Corporate in its 2020 edition.Roland is a Senior Consultant at Morrison Foerster’s German office in Berlin and a member of our Corporate, Compliance, and Investigations team. In addition, he is a former notary with official residence in Berlin.<h4>Representative Experience</h4><ul><li>Advising the supervisory board of Daimler AG regarding diesel emissions</li><li>Providing advice to Landesbank Hessen-Thüringen on dividend arbitrage activities</li><li>Assisting Bilfinger SE with an internal investigation into bribery allegations</li><li>Representing U.S. hedge funds in German takeover procedures</li><li>Advising MAN SE on an internal investigation into bribery allegations </li><li>Advising Hamburg Commercial Bank AG (previously HSH Nordbank AG) in connection with an internal investigation concerning the dismissal of a former manager</li><li>Representing TUI AG in corporate and capital market law matters </li><li>Advising UK and U.S. companies on real estate transactions in Germany</li><li>Advising a U.S. public company on German corruption issues</li><li>Advising  EnBW AG on the purchase of a strategic participation in EWE</li><li>Advising EnBW AG on the acquisition of the gas supplier VNG as part of an exchange of shares with EWE AG</li><li>Advising several banks in connection with an allegation of cum-ex transactions</li><li>Advising Danone SA on compliance matters</li></ul>

Prof. Dr. Roland Steinmeyer berät in Angelegenheiten des nationalen und internationalen Gesellschaftsrechts. Er hat mehr als 35 Jahre Erfahrung in den Bereichen Compliance, interne Untersuchungen und Corporate Governance. Schwerpunktmäßig berät Prof. Dr. Roland Steinmeyer Vorstände und Aufsichtsräte zu deutschen und US-amerikanischen Compliance-Anforderungen, wie zum Beispiel dem FCPA, und zu gesellschafts- sowie strafrechtlichen Fragen. Zudem berät er Mandanten in grenzüberschreitenden Verfahren mit Strafverfolgungsbehörden sowie zu weiteren Compliance Themen, insbesondere der Strukturierung von entsprechenden Programmen, Follow-on Litigation und D&O Versicherungsfragen.Prof. Dr. Roland Steinmeyer ist Honorarprofessor an der Hochschule Konstanz für Technik, Wirtschaft und Gestaltung und Mitglied des Konstanzer Instituts für Corporate Governance (KICG). Er ist Mitglied der Prüfungskommission für Wirtschaftsprüfer bei der Wirtschaftsprüferkammer.Prof. Dr. Roland Steinmeyer wird regelmäßig von führenden juristischen Verzeichnissen wie Chambers Global, Legal 500 und Best Lawyers empfohlen. Seit 2006 wird er in JUVE, Deutschlands führendem Anwaltsverzeichnis, in den Bereichen Corporate und M&A als „Führender Anwalt“ gerankt. JUVE beschreibt ihn als „unglaublich versiert“ und auf einem „konstant sehr hohem Level“ arbeitenden Anwalt. Die WirtschaftsWoche empfiehlt ihn aktuell als „TOP Anwalt“ für Gesellschaftsrecht.Prof. Dr. Roland Steinmeyer ist Senior Consultant des deutschen Büros von Morrison Foerster in Berlin und Mitglied unseres Corporate, Compliance und Investigations Teams. <h4>Referenzen</h4><ul><li>Beratung des Aufsichtsrates der Daimler AG in der Angelegenheit Dieselemissionen</li><li>Beratung der Landesbank Hessen-Thüringen im Zusammenhang mit Dividendenarbitragegeschäften</li><li>Beratung der Bilfinger SE bei einer internen Untersuchung im Zusammenhang mit Bestechungsvorwürfen</li><li>Beratung U.S.-amerikanischer Hedgefonds bei deutschen Übernahmeverfahren</li><li>Beratung der MAN SE bei einer internen Untersuchung im Zusammenhang mit Bestechungsvorwürfen </li><li>Beratung der Hamburg Commercial Bank AG (ehemals HSH Nordbank AG) im Zusammenhang mit einer internen Untersuchung zur Entlassung eines ehemaligen Vorstandsmitglieds</li><li>Beratung der TUI AG im Zusammenhang mit Gesellschafts- und Kapitalmarktrecht</li><li>Beratung britischer und U.S.-amerikanischer Unternehmen im Zusammenhang mit Immobilientransaktionen in Deutschland</li><li>Beratung einer U.S.-amerikanischen Aktiengesellschaft im Hinblick auf deutsche Korruptionsregelungen</li><li>Beratung der EnBW AG bei dem Erwerb einer strategischen Beteiligung an der EWE AG</li><li>Beratung mehrerer Banken im Zusammenhang mit dem Vorwurf von Cum-Ex-Transaktionen</li><li>Beratung der EnBW AG bei dem Erwerb des Gaslieferanten VNG im Rahmen eines Beteiligungstauschs mit der EWE AG</li><li>Beratung der Danone SA in Compliance-Angelegenheiten</li></ul>

Roland Steinmeyer

Senior Consultant

Tim Bartels is a senior associate at Morrison Foerster’s German office in Berlin and a certified compliance officer. He advises both foreign and domestic clients on all areas of corporate compliance and internal investigations.Tim’s practice focuses on conducting internal investigations in specific cases of suspicion in Germany and abroad, also in the context of investigations by the public prosecutor’s office, as well as on conducting suspicion-independent compliance reviews, and enforcing claims for damages in the event of noncompliance with laws or regulations.Besides, Tim advises on Environmental, Social, and Corporate Governance (ESG) related topics. For example, this includes advisory work on ESG requirements deriving from the law of the European Union.Prior to joining Morrison Foerster, Tim worked in the Berlin judiciary. There, he served both as a judge in civil proceedings and as a prosecutor in white-collar criminal proceedings. In this capacity, he also taught criminal law and criminal procedure law to trainee lawyers.

Tim Bartels ist Senior Associate des deutschen Büros von Morrison Foerster in Berlin und zertifizierter Compliance Officer.  Er berät nationale sowie internationale Mandanten schwerpunktmäßig im Bereich Corporate Compliance und internen Untersuchungen.Zu seiner Compliance-Beratung gehört u.a. die Durchführung interner Untersuchungen bei konkreten Verdachtsfällen im In- und Ausland, auch im Zusammenhang mit staatsanwaltschaftlichen Ermittlungen, die Durchführung verdachtsunabhängiger Compliance-Reviews sowie die Durchsetzung von Schadensersatzansprüchen bei Nichteinhaltung von Compliance-Anforderungen.Außerdem berät Tim Bartels zu Compliance- und Corporate Governance-Themen sowie Environmental, Social and Corporate Governance („ESG“). Dazu gehört beispielsweise die Beratung zu ESG-Anforderungen, die sich aus dem Recht der EU ergeben.Vor seinem Eintritt als Associate bei Morrison Foerster war Tim Bartels in der Berliner Justiz beschäftigt. Dort war er als Richter am Amtsgericht in Zivilverfahren sowie als Staatsanwalt in Wirtschaftsstrafsachen tätig. In dieser Funktion unterrichtete er zudem eine Arbeitsgemeinschaft von Referendarinnen und Referendaren im Straf- und Strafprozessrecht.

Tim Bartels

Senior Associate

Rachel Davidson Raycraft is an associate in the Litigation Department of Morrison Foerster’s Washington, D.C., office.Rachel has particular experience in corruption prevention and compliance. Prior to joining the firm, Rachel worked as an anti-corruption consultant at the United Nations Office on Drugs and Crime, Corruption and Economic Crime Branch, where she supported the implementation and management of global anti-corruption initiatives and assisted state parties in meeting their obligations under the United Nations Convention against Corruption. Rachel also served as a Fellow with the World Economic Forum Global Future Council on Transparency and Anti‑Corruption. After graduating from law school, Rachel clerked for the Honorable Judge Bernard A. Friedman of the U.S. District Court for the Eastern District of Michigan.During law school, Rachel was a legal intern with the U.S. Department of Justice’s Criminal Division, Fraud Section, and worked as a summer associate at Morrison Foerster.Rachel received her J.D. from the University of Virginia School of Law, where she was an editor for the Virginia Journal of International Law, president of the Public Interest Law Association, and a Human Rights Program coordinator.Rachel received her M.P.P. from the University of Virginia Batten School of Leadership and Public Policy, where she was a member of the Public Policy Global Honor Society. Rachel graduated summa cum laude and Phi Beta Kappa from Lafayette College with her B.A. in government & law and international affairs.

Rachel Davidson Raycraft

Associate

Charles (Chuck) Duross serves as co-head of Morrison Foerster’s FCPA + Global Anti-Corruption practice. With more than twenty-nine years of experience principally focused on white collar cases, Chuck’s practice has an emphasis on complex white collar criminal matters, including internal corporate investigations, representing special committees, compliance counseling, due diligence regarding third parties and business transactions, and defense of clients before government enforcement agencies and multilateral investment banks. Chuck has handled cases and overseen investigations in dozens of countries. As a veteran trial attorney, Chuck has a proven track record in the courtroom in high-profile, high-stakes trials. Dubbed “Mr. FCPA” in The Washington Post, Chuck is routinely recognized in various rankings and publications, including Chambers Global, Chambers USA, and Legal 500 as a leading attorney in white collar criminal defense, with a particular specialty in FCPA and foreign corruption cases.<h4>Representative Experience</h4><ul><li>Serving as the DOJ-appointed independent corporate compliance monitor for a large South American company in the wake of a multi-jurisdictional resolution of one of the largest bribery schemes in history</li><li>Representing a leading U.S. company in a high-profile multi-jurisdictional government-facing bribery investigation in Africa</li><li>Representing multinational European company in a high-profile bribery investigation involving multiple jurisdictions</li><li>Representing a major manufacturing company in an emissions-related investigation</li><li>Representing a technology company before DOJ and SEC regarding a whistleblower employee alleging FCPA violations</li><li>Representing a Japanese company before DOJ and SEC in an FCPA investigation</li><li>Representing a leading U.S. company before DOJ regarding allegations of improper hiring issues</li><li>Represented former telecom executive before DOJ and SEC regarding conduct in China</li><li>Representing a former executive regarding allegations of misconduct in Latin America</li><li>Secured declinations on behalf of multiple corporate clients and individuals before DOJ and SEC</li><li>Secured a victory for a Chinese company before the Sanctions Board of the World Bank</li><li>Lead an internal investigation for a leading South American company concerning bribery allegations in Asia</li><li>Conducted pre-investment and pre-acquisition enhanced FCPA/anti-corruption due diligence in numerous multi-billion dollar deals in Africa, Asia, and Latin America</li><li>Assisting numerous companies, from start-ups to Fortune 50 corporations, with drafting codes of conduct and compliance procedures, conducting risk assessments, gap analysis and compliance benchmarking, and enhancing existing compliance programs</li><li>Go-to outside FCPA and anti-corruption legal and compliance counsel to leading Global 500 multinational corporations across industries and regions</li></ul>Chuck previously served as Chief of the Foreign Corrupt Practices Act (FCPA) Unit in the Fraud Section of the Criminal Division of the U.S. Department of Justice (DOJ), where he was in charge of all of the DOJ’s FCPA investigations, prosecutions and resolutions in the United States. Chuck is internationally recognized for his leading role in developing and implementing the government’s FCPA enforcement strategy, and he is widely credited with developing the current enforcement regime. Under his leadership, the FCPA Unit resolved more than 40 corporate cases resulting in approximately $1.9 billion in monetary penalties and prosecuted dozens of business executives and money launderers. As the head of the FCPA Unit, Chuck oversaw countless voluntary disclosures, decided which matters would be declined, administered DOJ’s FCPA Opinion Release Procedure and was responsible for interviewing, selecting and reviewing the work of nearly 20 independent corporate monitors.In investigating and prosecuting transnational bribery cases, Chuck worked with every major U.S. Attorney’s Office and law enforcement agency in the United States, the Securities and Exchange Commission (SEC), law enforcement counterparts around the world and numerous multi-lateral development banks, including the World Bank. For example, Chuck worked with the Australian Federal Police, Royal Canadian Mounted Police, the Tribunal de Grande Instance de Paris, Indonesia’s Anti-Corruption Commission, the Tokyo Public Prosecutor’s Office, Mexico’s Procuraduría General de la República, Norway’s Økokrim, the Swiss Attorney General’s Office, Thailand’s National Anti-Corruption Commission, and the United Kingdom’s City of London Police, Crown Prosecution Service, Metropolitan Police and Serious Fraud Office.While in the Fraud Section, Chuck led the development of a deferred prosecution agreement (DPA) template for FCPA cases, which formed the basis for a DPA template later adopted for use by the entire Criminal Division, and he also led the effort to update and restructure the enhanced compliance components used in resolving FCPA cases. As a recognized expert, Chuck was consulted by UK officials prior to the adoption of legislation permitting deferred prosecution agreements.Chuck’s tenure was also marked by his efforts to make FCPA enforcement more transparent and compliance with the statute more understandable to the business community. Working closely with his counterparts at the SEC, Chuck was one of the principal authors of the DOJ and SEC’s joint publication A Resource Guide to the U.S. Foreign Corrupt Practices Act, which followed a series of consultations with business and compliance leaders. The Guide has received wide praise from the business community, compliance and ethics professionals and private practitioners, and has been described as a “landmark document,” an “FCPA hornbook,” and a “must-read for compliance officers.”Chuck also served as DOJ’s principal representative to the Organisation for Economic Co-operation and Development’s Working Group on Bribery for many years and helped develop the OECD’s acclaimed Good Practice Guidance on Internal Controls, Ethics and Compliance. Besides his involvement in the OECD Phase 1 of Russia and Phase 2 of South Africa, Chuck’s leadership during the OECD Phase 3 of the United States earned him the Assistant Attorney General’s Exceptional Service Award, the Criminal Division’s highest award for employee performance.Prior to being appointed Chief, Chuck served as Assistant Chief of the FCPA Unit from October 2008 to April 2010, and as a line prosecutor with the Fraud Section from December 2006 to October 2008. Beyond FCPA enforcement, Chuck has supervised and tried all manner of white collar cases, including healthcare fraud, mail and wire fraud, money laundering, public corruption, securities fraud and tax evasion. A veteran trial attorney, Chuck is a recipient of the prestigious Attorney General’s Distinguished Service Award, the second-highest department-wide award for employee performance, as one of the lead prosecutors who secured the conviction of Congressman William Jefferson following a nearly nine-week trial.Chuck has been recognized for his work on FCPA matters by Law360, the Legal 500 US, the Washington Post, Washington Business Journal, and also by Chambers USA where a market commentator praises him as “a sage counselor, who is calm under pressure and solutions-oriented.” Who’s Who Legal also recognizes Chuck for his investigations work. In recognition of his contributions to the firm’s “Top Ten International Anti-Corruption Developments” monthly newsletter, Chuck has also been repeatedly honored with JD Supra’s “Reader’s Choice Top Author” award.Chuck earned his J.D., cum laude, from the University of Michigan Law School in 1996 and his B.A., magna cum laude, from the University of Michigan in 1993. After beginning his career as a litigation associate at an international firm in 1996, he joined the U.S. Attorney’s Office for the Southern District of Florida in 2001, where he prosecuted a variety of white collar cases, including bank fraud, embezzlement, mail and wire fraud, money laundering, securities fraud and trademark violations. Chuck rose to the position of Deputy Chief in the Major Crimes Section in Miami before moving to Washington, D.C., in 2006 to join the Fraud Section. Chuck has been an adjunct professor for seven years at Georgetown University Law Center, where he has taught trial advocacy, has been a guest lecturer at Harvard Law School’s Program on the Legal Profession, University of Pennsylvania Law School, and the University of Michigan Law School and Ross School of Business. As an internationally recognized expert on transnational bribery, white collar crimes, and compliance issues, Chuck is a sought-after speaker, and he routinely speaks at conferences across the United States and around the world. He is admitted to practice in Michigan and the District of Columbia.

Charles E. Duross

Partner

Alexander advises clients on a broad range of EU and German regulatory issues. His practice focuses on foreign trade law, government contracts, and EU state aid law, as well as on general regulatory law compliance for industry and technology clients. Recent matters particularly involve compliance with economic sanctions and the control of foreign direct investments, regulatory law due diligence, and advice to clients during public tender proceedings and on competition law issues. His industry experience comprises, among others, banking and financial services, (tele)communications, media and digital service providers, critical technologies such as semiconductors, and transport. Alexander studied law at Humboldt-Universität zu Berlin and King’s College, London (LL.M.). Prior to joining Morrison Foerster, he worked as a research assistant at three renowned international law firms in the fields of antitrust and state aid and on regulatory matters. During his legal clerkship, he worked in the public procurement department of the German Federal Ministry of Economics and Energy as well as the Federal German Embassy in Nairobi. Alexander also acted as managing director of a nonprofit organization in the educational sector.Alexander is a senior associate at Morrison Foerster’s German office in Berlin.

Alexander Eisenfeld berät Mandanten zum europäischen und deutschen Marktordnungsrecht, insbesondere zu Fragen des Außenhandelsrechts, des Vergabe- und EU-Beihilfenrechts sowie zur Compliance mit regulatorischen Anforderungen in verschiedenen Industrie- und Technologiebereichen. Seine Beratung umfasst die Compliance von Unternehmen mit sanktionsrechtlichen Regimen, die Investitionskontrolle, regulatorische Due Diligence bei Unternehmenstransaktionen sowie vergabe- und wettbewerbsrechtliche Fragestellungen. Über branchenspezifische Erfahrungen verfügt er unter anderem in den Sektoren Banken und Finanzdienstleister, Telekommunikation, Medien und digitale Dienstleister, kritische Technologien, etwa im Bereich der Halbleiterindustrie, sowie Transport und Verkehr.Alexander Eisenfeld studierte Rechtswissenschaft an der Humboldt-Universität zu Berlin sowie am King’s College, London (LL.M.). Promotionsbegleitend sammelte er als wissenschaftlicher Mitarbeiter bei drei renommierten Wirtschaftssozietäten Erfahrung in den Bereichen Kartellrecht, staatliche Beihilfen und Regulierung. Im Rahmen seines Referendariats arbeitete er unter anderem im Vergaberechtsreferat des Bundesministeriums für Wirtschaft und Energie sowie in der deutschen Botschaft in Nairobi. Alexander Eisenfeld war zudem als Geschäftsführer einer gemeinnützigen Organisation im Bildungssektor tätig.Alexander Eisenfeld ist Senior Associate des deutschen Büros von Morrison Foerster in Berlin.

Alexander Eisenfeld

With her enthusiasm for technology-driven issues, Patricia Ernst has built a recognized practice at the interface of compliance and technology. National and international clients rely on her advice on cross-border investigations, global compliance programs, and crisis situations.Patricia represents listed and unlisted companies as well as their boards navigating multi-layered compliance requirements in technology and innovation. She advises clients in a wide range of industries, including technology in the fields of artificial intelligence (AI), e-mobility, and autonomous driving, as well as financial institutions, media and digital companies, and companies in the product manufacturing and transportation sectors. She examines and improves risk and control mechanisms in internationally operating companies and provides strategic support to companies in crisis situations. Often called upon for risk management solutions, she identifies future risks and delivers customized improvements to compliance programs, e.g., regarding AI and digital regulation, environmental, social, and corporate governance (ESG), and workplace harassment issues.Patricia has extensive experience representing corporations, boards, and c-suite executives in government-facing investigative and regulatory matters, cross-border criminal investigations, and corporate internal investigations. Her advice focuses on providing clients with strategic and practical support in pursuing and defending claims for damages arising from breaches of compliance requirements and in communicating with authorities, D&O insurers, and other third parties.Patricia is regularly recognized by various legal directories including Best Lawyers in Germany as ”Ones to Watch” for compliance, internal investigations, and corporate law by, as well as by The Legal 500 Germany EMEA.Patricia is admitted to practice in Berlin and holds an LL.M. in Intellectual Property and Media Law from Humboldt-Universität zu Berlin. She is a lecturer on media and digital law at University Babelsberg Konrad Wolf (a master’s program at EPI Institute) and has extensively published articles about aspects of digital compliance with a focus on AI.Prior to joining Morrison Foerster, she worked for the corporate law practice group of another international law firm in Berlin. She studied law at Freie Universität Berlin and the University of Connecticut, School of Law, Hartford. As part of her Ph.D. studies in international corporate law, Patricia has been a research fellow with U.C. Hastings, College of the Law, San Francisco, and the Institute of International Private Law, International Civil Procedure Law, and Comparative Law in Berlin. In 2023, Patricia passed the notary exam in Germany with distinction. She has been awarded scholarships by, among others, the German Academic Exchange Service and the University of Connecticut, School of Law.Patricia Ernst is partner at Morrison Foerster’s German office in Berlin and a member of the Corporate Compliance and Investigations team.<h4>Representative Experience        </h4><ul dir="ltr"><li>Advising the Supervisory Board of Mercedes-Benz Group AG in connection with the regulatory, criminal, and civil proceedings in Germany and other countries regarding diesel exhaust emissions as well as the maintenance and further development of the technical compliance management system</li><li>Advising a listed company in the mobility sector on technological compliance issues and further development of its risk management system</li><li>Advising Deutsche Bahn on compliance with the Artificial Intelligence Act</li><li>Advising an international technology company on the applicability and scope of the provisions of the draft AI Regulation</li><li>Advising an international financial services company in connection with the operational management of a highly complex financial instrument, including the risk and control mechanisms used for this purpose</li><li>Advising a U.S. software company working in the fields of engineering, automotives, and transportation on the collection of data using web-scraping/TDM, the use of such data for training machine learning models, and the subsequent use of the AI models in commercial products</li><li>A major German trade company with regard to its directors and officers and special audit matters</li><li>A major German trade company on damage claims against former directors</li><li dir="ltr">A telecommunications network in the context of launching an Internet-based Protocol Television (IPTV) platform</li></ul>

Mit Ihrer Begeisterung für technologiegetriebene Themen hat Patricia Ernst in den vergangenen Jahren eine anerkannte Praxis aufgebaut, die an der Schnittstelle von Compliance und Technologie agiert. Nationale und internationale Mandanten vertrauen auf ihre Beratung bei grenzüberschreitenden Untersuchungen, zu globalen Compliance-Programmen und in Krisensituationen.Schwerpunktmäßig unterstützt sie börsennotierte und nicht börsennotierte Unternehmen sowie deren Vorstände bei der Bewältigung vielschichtiger Compliance-Anforderungen im Bereich Technologie und Innovation. Sie berät in einer Vielzahl von Branchen, darunter Technologieunternehmen aus den Bereichen künstliche Intelligenz (KI), E-Mobilität und autonomes Fahren, Finanzinstitute, Medien- und Digitalunternehmen sowie Unternehmen aus den Bereichen Produktfertigung und Transportwesen. Sie überprüft Risiko- und Kontrollmechanismen in international agierenden Unternehmen und unterstützt in Krisensituationen strategisch, oft unter Einbindung einer spezifisch zusammengestellten Task Force internationaler Rechtsexperten. Ein weiterer Fokus ist die Identifizierung zukünftiger (häufig regulatorischer) Risiken und die Entwicklung maßgeschneiderter Compliance-Lösungen z. B. zu Themen wie KI, dem Digital Services Act (DSA), Environmental, Social and Corporate Governance (ESG) und Diskriminierung.Patricia Ernst verfügt über umfangreiche Erfahrung in der Vertretung von Unternehmen, Aufsichtsräten und Vorständen bei behördlichen Ermittlungsverfahren, grenzüberschreitenden strafrechtlichen Ermittlungen sowie unternehmensinternen Untersuchungen. Ihre Beratung konzentriert sich auf die strategische und praktische Unterstützung von Mandanten bei der Verfolgung und Abwehr von Schadensersatzansprüchen aufgrund von Verstößen gegen Compliance-Anforderungen sowie bei der Kommunikation mit Behörden, D&O-Versicherern und anderen Dritten.Patricia Ernst wird regelmäßig von verschiedenen juristischen Fachpublikationen, u.a. von Best Lawyers Germany in der Kategorie „Ones to Watch“ für Compliance, interne Untersuchungen und Gesellschaftsrecht sowie von Legal 500 Germany EMEA empfohlen.Patricia Ernst ist als Rechtsanwältin in Deutschland zugelassen und hat zudem einen LL.M. im Bereich „Immaterialgüter- und Medienrecht“ erworben. Sie ist Dozentin für Medien- und Digitalisierungsrecht an der Universität Babelsberg Konrad Wolf (Masterstudiengang am EPI-Institut) und hat umfangreich zu Aspekten der digitalen Compliance mit dem Schwerpunkt KI veröffentlicht.Vor ihrer Tätigkeit bei Morrison Foerster war sie für die Gesellschaftsrechtspraxis einer internationalen Wirtschaftsrechtskanzlei in Berlin tätig. Patricia Ernst studierte Rechtswissenschaften an der Freien Universität Berlin und der University of Connecticut, Hartford. Im Rahmen ihres Promotionsstudiums im Bereich des internationalen Gesellschaftsrechts war sie zudem als wissenschaftliche Mitarbeiterin am Institut für Internationales Privatrecht, Internationales Zivilverfahrensrecht und Rechtsvergleichung der Freien Universität Berlin tätig und forschte als Research Fellow an der U.C. Hastings, College of the Law, San Francisco. 2023 hat sie erfolgreich die Notarprüfung absolviert. Sie ist Stipendiatin des Deutschen Akademischen Austauschdienstes (DAAD) und der University of Connecticut.Dr. Patricia Ernst ist Partnerin im deutschen Büro von Morrison Foerster in Berlin und Mitglied unseres Corporate, Compliance und Investigations Teams.<h4 dir="ltr">Referenzen:</h4><ul><li dir="ltr">Beratung des Aufsichtsrates der Mercedes-Benz Group AG im Zusammenhang mit den in Deutschland und anderen Ländern geführten regulatorischen, strafrechtlichen und zivilrechtlichen Verfahren wegen Dieselabgasemissionen sowie der Aufrechterhaltung und Fortentwicklung des technischen Compliance Management Systems</li><li dir="ltr">Beratung eines börsennotierten Unternehmens im Bereich Mobilität zu technologischen Compliance-Fragen und Fortentwicklung des Risikomanagementsystems</li><li dir="ltr">Beratung der Deutschen Bahn an der Schnittstelle von Compliance und KI-Verordnung</li><li dir="ltr">Beratung eines DAX 30 Unternehmens zu D&O Versicherungsfragen und Aspekten der Sonderprüfung</li><li dir="ltr">Beratung eines DAX 30 Unternehmens zu organhaftungsrechtlichen Fragestellungen</li><li dir="ltr">Beratung eines internationalen Technologieunternehmens zu Anwendbarkeit und Umfang der Regelungen des Entwurfs der KI-Verordnung</li><li dir="ltr">Beratung eines internationalen Finanzdienstleisters im Zusammenhang mit der operativen Steuerung eines hochkomplexen Finanzinstruments einschließlich der hierfür eingesetzten Risiko- und Kontrollmechanismen</li><li dir="ltr">Beratung eines US-amerikanischen Software-Unternehmens in den Bereichen Gebäudetechnik, Hoch- und Tiefbau, Automotive und Transportwesen, Mechanik und Maschinenbau zur Sammlung von Daten mittels „Web-Scraping“/TDM, zur Verwendung solcher Daten für das Training von Machine Learning-Modellen sowie dem späteren Einsatz der KI-Modelle in kommerziellen Produkten</li></ul>

Patricia Ernst

Jens is a counsel at Morrison Foerster’s German office in Berlin. He advises clients in all areas of European and German competition law, including merger control filings, cartel authority investigations, cartel damage claims, distribution cartel law, antitrust compliance programs and unfair competition law. Jens has particular industry-specific experience in the areas of media, technology, telecommunication, transport and aviation. In addition, he advises in the fields of state aid and public procurement law.Within the scope of the above described practice areas, Jens particularly provides antitrust advice on (cross-border) M&A projects where he coordinates multi-jurisdictional merger filings involving European, U.S. and Asian authorities. Jens further advises clients on a wide range of operational issues (e.g., abuse of dominance and internal investigations) and also represents them in litigation (e.g., (cross-border) cartel damage claims and claims based on unfair competition law).Jens studied at the Ernst-Moritz-Arndt University of Greifswald. Afterwards, he worked as an academic assistant at the university and obtained his Dr. iur. in competition law. During his internship (second state exam in law), Jens worked for the Federal Ministry of the Interior and an international law firm in Berlin and Brussels.<h4>Representative Experience</h4><ul><li>Representation of plaintiffs in follow-on cartel damages cases (for example, against the German sugar cartel). </li><li>Advice to a Japanese multinational company as defendant in follow-on cartel damage claims relating to cathode ray tubes and rechargeable batteries. </li><li>Advice to Japanese companies in cartel investigations. </li><li>Advice to and representation of cable network operator Tele Columbus GmbH on antitrust, public procurement law and unfair competition law. </li><li>Advising a global music entertainment corporation on various commercial matters, in particular on the structuring of an international joint venture. </li><li>Assisted with representation of Renesas Electronics, a Tokyo-based semiconductor supplier, in its $3.2 billion acquisition of Intersil Corporation, a leading U.S. chipmaker. </li><li>Acting as ongoing antitrust counsel for a leading German pay-TV provider regarding restructuring and marketing issues. </li><li>Advised HALEX Holding GmbH (a portfolio company of H2 Private Equity Partners) on the acquisition of Händle Härterei GmbH.& Co. KG. </li><li>Advice to Viacom on a TV and video ad sales marketing joint venture with Axel Springer SE. </li><li>Advice to Axel Springer SE regarding the acquisition of N24 Media GmbH. </li><li>Advice to Vita-Mix Corp., a U.S. manufacturer of high-end blenders, on its distribution system. </li><li>Advice on public procurement law to a client in the health care industry. </li><li>Advising a major international airline in a proceeding before the General Court regarding the access to the administrative file of a cartel investigation of the European Commission. </li><li>Advising a major international entity of the railway sector on issues regarding cartel damage claims. </li><li>Advice to and representation of several entities of the broadband cable market and the media, telecommunication and technology sector in competition law matters (merger control; cartel litigation; abuse of dominance).</li></ul>

Dr. Jens Hackl ist Counsel des deutschen Büros von Morrison Foerster in Berlin. Er berät Mandanten schwerpunktmäßig im europäischen und deutschen Kartellrecht, u. a. in Fusionskontrollverfahren, Kartellverfahren, im Vertriebskartellrecht sowie bei kartellrechtlichen Compliance Programmen.Branchenspezifische Kenntnisse besitzt Jens Hackl hierbei in den Bereichen Medien, Telekommunikation, Transport und Luftfahrt. Zudem berät er Mandanten im Beihilfen- und Vergaberecht sowie zu Fragen des Lauterkeitsrechts (UWG).Dr. Jens Hackl studierte an der Ernst-Moritz-Arndt-Universität Greifswald und promovierte dort im Rahmen seiner Tätigkeit als wissenschaftlicher Mitarbeiter im Kartellrecht. Während des Referendariats war er im Bundesinnenministerium und bei einer international tätigen Wirtschaftskanzlei in Berlin und Brüssel tätig.<h4>Referenzen</h4><ul><li>Beratung einer internationalen Fluggesellschaft in einem Verfahren vor dem Gericht der Europäischen Union hinsichtlich des Zugangs zur Verwaltungsakte einer Kartelluntersuchung der Europäischen Kommission.</li><li>Beratung eines internationalen Unternehmens des Eisenbahnsektors hinsichtlich kartellrechtlicher Schadensersatzansprüche (follow-on-Klage).</li><li>Außergerichtliche und gerichtliche Beratung diverser Unternehmen aus dem Medien- und Breitbandkabelsektor hinsichtlich kartellrechtlicher Fragen (Fusionskontrolle, Kartellverfahren, Missbrauch einer marktbeherrschenden Stellung).</li></ul>

Jens Hackl

Counsel

Felix possesses more than fifteen years of experience in complex regulatory counselling, compliance, and litigation. He advises major companies, public sector entities, and innovative businesses on EU and German regulatory law, with a particular focus on foreign trade, government contracts, and competition. His clients span a range of industries, including telecoms, digital economy, media, technology, financial services, healthcare, energy, and transportation (automotive, e-mobility, public transport, and railway). Felix regularly represents clients in administrative proceedings and public and civil law disputes before national and European authorities and courts, including in public procurement matters and bid protests.His specific experience in foreign trade matters comprises EU sanctions and export control compliance counselling, representation of Asian or U.S. investors in foreign investment control clearance proceedings, and other complex matters involving cybersecurity or further national security concerns.Felix also oversees large-scale internal investigation or regulatory law-driven transactional projects and is particularly experienced in providing strategic advice to market entrants and representing clients in sophisticated multiparty negotiations.As a member of our leading global National Security, Sanctions and Export Control, Government Contracts, and Antitrust practice groups, Felix works closely with high-ranking experts across three continents.Felix regularly lectures at the Humboldt-Universität zu Berlin. His dissertation deals with the market regulation issues of liberalizing the railway sector.Felix studied in Berlin (Dr. iur.) and Geneva, Switzerland (“Certificate in Transnational Law”). He worked as an intern in the Hearing Office of the European Commission (Directorate-General for Competition) in Brussels and at the Federal Ministry of Economics and Technology (Department of Competition, Regulation and Privatization Policy) in Berlin.<h4>REPRESENTATIVE EXPERIENCE*</h4><h5>Foreign Investment, Sanctions and Export Control</h5><ul><li>Advising major global businesses and organizations on sanctions, export control compliance and internal compliance programs.</li><li>Representing companies in sanctions related disputes and litigation.</li><li>Counseling EU companies on conflicts of laws relating to U.S. sanctions and EU or EU Member State blocking laws and regulations.</li><li>Secured foreign investment control clearances in global M&A transactions before the German Ministry of Economics and Energy and coordinated with local counsel in multiple jurisdictions on clearance under local foreign investment and national security laws.</li></ul><h5>Regulatory, Government Contracts, Competition and EU State Aid</h5><ul><li>Advising a public transportation company on regulatory laws and regulations.</li><li>Counseling companies on public tenders and bid protests.</li><li>Assisted a tech startup with market access to build loading infrastructure for electric vehicles.</li><li>Advised private railway companies on track access, public tenders and EU state aid matters.</li></ul><h5>Compliance and Investigations</h5><ul><li>Advising a major OEM regarding diesel emissions.</li><li>Conducted an internal investigation at a healthcare company in relation to government contracts, and represented the client successfully in a bid protest and follow-on litigation.</li><li>Conducted multinational government contracts compliance review and associated risk assessment for a Fortune Global 500 company, including recommending process improvements and policy changes.</li><li>Conducted a multinational compliance review regarding conflicts of interest and anti-kickback policies.</li></ul><h5>Transactions</h5><ul><li>Represented 1&1/United Internet in negotiations and advised on establishing the European netID Foundation together with ProSiebenSat.1 and RTL.</li><li>Supported U.S. satellite network operator Planet Labs, Inc. during the acquisition of the German satellite system RapidEye.</li><li>Assisted a Chinese investor in the acquisition of Bochumer Verein, a steel manufacturer with plants in Germany and Brazil, from Georgsmarienhütte.</li><li>Represented Viacom in negotiations and advised on establishing the television and video ad sales marketing joint venture “Visoon” with Axel Springer.</li></ul> * includes prior law firm experience

Dr. Felix Helmstädter berät seine Mandanten seit über fünfzehn Jahren zu komplexen Fragestellungen des Regulierungsrechts, bei Transaktionen sowie bei Compliance-Verstößen und vertritt sie in Verwaltungs- und Gerichtsverfahren.Zu seinen Mandanten zählen führende nationale und internationale Unternehmen, Unternehmen der öffentlichen Hand und neue, innovative Marktteilnehmer. Er berät diese sowohl strategisch als auch in Verhandlungen oder streitigen Auseinandersetzungen in zahlreichen Bereichen des europäischen und deutschen Regulierungsrechts, mit einem besonderen Fokus auf Fragen des Außenwirtschaftsrechts, Vergabe- und Beihilferechts sowie Wettbewerbsrechts.Besondere branchenspezifische Kenntnisse besitzt Dr. Felix Helmstädter in den Sektoren Telekommunikation, Digitalwirtschaft, Big Data, Medien, Technologie, Finanzdienstleistungen, Gesundheit, Energie und Transport (Automotive, E-Mobility, Öffentlicher Nahverkehr und Eisenbahn).Er vertritt seine Mandanten regelmäßig in Verwaltungs- und Bußgeldverfahren sowie verwaltungs- und zivilgerichtlichen Prozessen vor nationalen sowie europäischen Behörden und Gerichten. Hierzu zählt auch die Vertretung bei vergaberechtlichen Streitigkeiten und Nachprüfungsverfahren sowie in Investitions- und Fusionskontrollverfahren.Seine spezifische Expertise in Außenhandelsfragen umfasst die Compliance mit EU-Sanktionen und Exportkontrollanforderungen, insbesondere auch im Verhältnis zum US-Sanktions- und Exportkontrollrecht. Dr. Felix Helmstädter vertritt zudem vor allem asiatische und US-amerikanische Investoren bei Verfahren zur Genehmigung ausländischer Investitionen und berät zu komplexen Fragen der Cybersicherheit etwa im telekommunikationsrechtlichen oder außenwirtschaftsrechtlichen Kontext.Weitere Beratungsschwerpunkte von Dr. Felix Helmstädter sind die Koordinierung und Durchführung von umfangreichen internen Ermittlungen, die Beratung zu vergaberechtlicher und beihilfenrechtlicher Compliance, die Betreuung von regulierungsrechtlich geprägten M&A-Transaktionen, sowie die strategische Beratung etwa in Fragen des Marktzugangs oder die Verhandlungsführung bei komplexen Vertragsprojekten.Als Mitglied der führenden globalen Praxisgruppen National Security, Sanctions and Export Control; Government Contracts; und Antitrust arbeitet Dr. Felix Helmstädter eng mit hochrangigen Experten über drei Kontinente hinweg zusammen.Er lehrt an der Humboldt-Universität zu Berlin. Seine Dissertation behandelt marktordnungsrechtliche Fragen der Liberalisierung des Eisenbahnsektors.Dr. Felix Helmstädter studierte in Berlin (Dr. iur.) und Genf (Certificat de Droit Transnational). Während seines Referendariats arbeitete er u.a. im Hearing Office der Europäischen Kommission, Generaldirektion Wettbewerb (Brüssel) sowie im Bundesministerium für Wirtschaft und Technologie, Referat für Wettbewerbs-, Regulierungs- und Privatisierungspolitik (Berlin).

Felix Helmstädter

Nick is an associate in the Litigation Department in Morrison Foerster’s Washington, D.C. office. He advises clients on sensitive matters relating to national security, crisis management, and cybersecurity.Nick received his J.D. from the Georgetown University Law Center where he was a student advocate in the Appellate Litigation Clinic, Exceptional Pro Bono Pledge Honoree, and administrative editor of the Journal of National Security Law & Policy.  During law school, he interned at the U.S. Department of Justice in the National Security Division’s Counterterrorism Section as well as in the chambers of the Honorable Evan J. Wallach of the U.S. Court of Appeals for the Federal Circuit and the Honorable Timothy J. Kelly of the U.S. District Court for the District of Columbia. After law school, Nick clerked for the Honorable Gregory K. Frizzell of the U.S. District Court for the Northern District of Oklahoma.Nick currently serves as an Air Force Reserve officer supporting the Joint Staff Directorate for Intelligence.  He previously served as an active duty intelligence officer in the U.S. Air Force.

Nicholas Kennedy

James Koukios is co-chair of Morrison Foerster’s Investigations + White Collar Defense Group and also serves as co-head of the FCPA + Global Anti-Corruption Practice. James represents companies and individuals in high-stakes government enforcement actions and complex internal investigations. He has handled matters across a wide range of jurisdictions including Brazil, China, Greece, India, Russia, Venezuela, and Vietnam, among others. James draws on his experience as a federal prosecutor, when he tried over 20 federal jury cases and supervised hundreds of white collar investigations, to obtain the best results for his clients. He is consistently praised for his judgment and advocacy in complex investigations and enforcement actions. Chambers USA notes that he is “super experienced with excellent judgement regarding what the government is looking for and concerned about,“ while Chambers Global describes James as, “a forceful advocate when appearing before the government.”Before joining Morrison Foerster, James spent 10 years at the U.S. Department of Justice (DOJ), beginning as an Assistant United States Attorney in Miami and finishing as Senior Deputy Chief of the Criminal Division’s Fraud Section in Washington, D.C., where he supervised investigations, prosecutions, and resolutions in the Fraud Section’s FCPA, Health Care Fraud, and Market Integrity and Major Fraud Units. While at DOJ, James investigated and prosecuted health care fraud, procurement fraud, domestic and foreign corruption, money laundering, and export control offenses, working closely with state, federal, and foreign law enforcement officials, as well as the U.S. Securities and Exchange Commission (SEC), the U.S. Departments of Defense, State, and Commerce, and intelligence agencies.While at DOJ, James assisted in drafting the widely acclaimed DOJ and SEC joint publication A Resource Guide to the U.S. Foreign Corrupt Practices Act, which followed a series of consultations with business and compliance leaders. He was also a lead examiner for the Phase 2 examination of Russia’s compliance with the Anti-Bribery Convention of the Organisation for Economic Co-operation and Development (OECD).James has been recognized as: a leading lawyer in FCPA (Nationwide and Global) by Chambers USA and Chambers Global; a recommended lawyer for corporate investigations and white collar defense by Legal 500; an “Expert” and a “Thought Leader” in investigations by Who’s Who Legal; and an “Attorney Who Matters” by the Ethisphere Institute for making an impact in the area of ethics and compliance. He also received the Assistant Attorney General’s Distinguished Service Award in recognition for his work on two landmark FCPA-related trials: United States v. Esquenazi and United States v. Duperval. James also served as a lead prosecutor in United States v. AEY Inc., a defense procurement fraud and export licensing case that served as the basis for the 2016 film War Dogs.James is a recognized thought leader on the latest legal trends and industry developments. Chambers Global notes that, “James has a keen ability to distill trends and enforcement down to their core. He is a crisp thinker and discerning with regards to the market.” He is the lead editor of our award-winning monthly newsletter, Top 10 International Anti-Corruption Developments, which succinctly summarizes important case and policy developments for busy in-house counsel, compliance professionals, and anti-corruption lawyers. James also served as an adjunct professor of trial advocacy at the Georgetown University Law Center for over 10 years and regularly guest lectures at leading law and business schools on investigations, white collar enforcement, and anti-corruption issues.<h4>Selected Significant Representations</h4><h5>FCPA and Global Anti-Corruption</h5><ul><li>Successful resolution of a transnational bribery investigation of a multinational pharmaceutical company, securing cooperation credit, avoiding the imposition of a corporate compliance monitor, and negotiating a deferred prosecution agreement with DOJ and an administrative resolution with the SEC.</li><li>Successful representation of a multinational medical device company in conducting an internal investigation into allegations of bribery in Vietnam that led to a deferred prosecution agreement with DOJ.</li><li>Representation of an international consulting firm in extensive, government-facing international corruption and money laundering investigations involving China, India, and other jurisdictions.</li><li>Representation of a multinational automotive company in an internal investigation into allegations of bribery in its Latin America operations and antitrust violations and whistleblower retaliation in its U.S. operations.</li><li>Representation of a consumer retail company in an internal investigation into allegations of bribery in its Indonesian operations.</li><li>Representation of business executives in government-facing FCPA investigations involving Brazil, China, Venezuela, and other jurisdictions.</li><li>FCPA legal advice, anti-corruption counseling, transactional due diligence, and post-acquisition integration advice to multinational corporations in several industries, including defense, extractive, financial services, food, gaming, health care, and technology.</li><li>Review of a multinational company’s compliance management system in connection with the spin-off of a subsidiary and investigations by multiple enforcement agencies.</li></ul><h5>Consumer Protection and Product Safety</h5><ul><li>Successful representation of a multinational consumer electronics company in the first-ever corporate criminal resolution of an alleged Consumer Product Safety Act (CPSA) violation, securing cooperation credit, avoiding the imposition of a corporate compliance monitor, and negotiating a deferred prosecution agreement for the parent company with DOJ.</li><li>Representation of a multinational vehicle manufacturer in a criminal CPSA investigation being led by DOJ’s Consumer Protection Branch.</li><li>Representation of the CEO of a consumer electronics company in a criminal CPSA investigation being led by DOJ’s Consumer Protection Branch.</li><li>Representation of the Supervisory Board of a car manufacturer in an investigation by DOJ, the U.S. Environmental Protection Agency, the California Air Resources Board, SEC, various state Attorneys General, German Prosecutors and the German vehicle admissions agency into potential violations of environmental, capital markets, consumer protection, antitrust and criminal laws.</li></ul><h5>Other White Collar and Civil Fraud Defense Matters</h5><ul><li>Representation of a multinational technology company in responding to a subpoena issued by the U.S. House of Representatives’ Judiciary Committee related to an investigation into alleged suppression or restriction of conservative opinions through “content moderation” policies on social media platforms.</li><li>Successful representation of a multinational defense contractor in conducting an internal investigation that led to a declination from the State Department for potential International Trafficking in Arms Regulation (ITAR) violations without referral to DOJ.</li><li>Representation of a consumer retail company in a DOJ insider trading investigation.</li><li>Representation of a company and several of its employees in connection with a DOJ mortgage fraud investigation.</li><li>Representation of Anthony Ornato, a former senior career civil servant who served as White House Deputy Chief of Staff of Operations, in the January 6 Select Committee investigation and related government investigations.</li><li>Representation of two former high-level executives of a public company in internal and external investigations concerning allegations of fraud, misuse of company funds, record violations, and disclosure violations and in a derivative lawsuit in the Delaware Chancery Court regarding alleged violations of fiduciary duty, corporate waste, and unjust enrichment.</li><li>Representation of business executives in anti-money-laundering, criminal securities fraud, whistleblower retaliation, government procurement fraud, and other DOJ investigations.</li><li>Defended independent directors against breach-of-fiduciary-duty claims in federal bankruptcy court, successfully moving to dismiss all claims against the directors with prejudice.</li></ul>

James Koukios é co-líder do grupo de Contencioso de Valores Mobiliários e Defesa de Colarinho Branco e atua como co-líder global do grupo FCPA (Foreign Corrupt Practices Act) + Anticorrupção. James representa empresas e indivíduos em ações governamentais de alto risco e investigações internas complexas.James, um experiente advogado de litígios e ex-promotor federal, litigou mais de 20 casos federais de júri, inclusive sendo o principal promotor em dois julgamentos históricos relacionados à FCPA: Estados Unidos v. Esquenazi e Estados Unidos v. Duperval. James também atuou como promotor-chefe nocaso Estados Unidos v. AEY Inc., um caso de fraude de aquisição de defesa e licenciamento de exportação que serviu de base para o filme de 2016 chamado "Cães de Guerra".<h4>Casos Representativos</h4><ul><li>Representou empresas multinacionais de dispositivos médicos e farmacêuticos em investigações da FCPA perante o governo.</li><li>Representou empresas e organizações multinacionais em vários setores a conduzir investigações internas sobre possíveis violações de FCPA, ITAR, sobre informações privilegiadas, entre outras violações.</li><li>Representou uma empresa e vários de seus funcionários em investigações do Conselho Especial.</li><li>Representou uma empresa de produtos de consumo em uma investigação criminal de segurança de produtos perante o governo.</li><li>Forneceu consultoria jurídica sobre FCPA, consultoria anticorrupção, due diligence transacional e consultoria de integração pós-aquisição a empresas multinacionais em vários setores, incluindo defesa, extração, serviços financeiros, alimentos, assistência médica e tecnologia.</li><li>Representou indivíduos em casos de investigações anti-corrupção, lavagem de dinheiro, fraude criminal em valores mobiliários, retaliação de denunciantes, fraude de compras do governo, dentre outras.</li><li>Defendeu conselheiros independentes contra reclamações por quebra de obrigações fiduciárias no tribunal federal de falências.</li></ul>Antes de ingressar na Morrison Foerster, James trabalhou  por 10 anos no Departamento de Justiça dos Estados Unidos, começando sua carreira como Advogado Assistente dos Estados Unidos em Miami e encerrando seu mandato no Departamento de Justiça como Chefe Adjunto de Seção de Fraude da Divisão Criminal em Washington, DC, onde supervisionou investigações, processos e resoluções na Seção de Fraude em FCPA, Fraude em Assistência Médica, e em Valores Mobiliários e na Unidade de Fraude Financeira. Enquanto estava no Departamento de Justiça, James investigou e processou fraudes na área da saúde, fraude de compras, corrupção doméstica e estrangeira, lavagem de dinheiro e infrações de controle de exportação, trabalhando em estreita colaboração com autoridades estaduais, federais e estrangeiras, bem como a Comissão de Valores Mobiliários dos Estados Unidos (SEC); Departamentos de Defesa, Estado e Comércio dos Estados Unidos; e agências de inteligência. Ele ajudou na redação da amplamente divulgada publicação conjunta da SEC e do Departamento de Justiça, “Guia de Recursos da Lei de Práticas de Corrupção no Exterior dos Estados Unidos (“A Resource Guide to the U.S. Foreign Corrupt Practices Act”), que seguiu uma série de consultas com os líderes de negócios e conformidade. Ele também foi examinador principal da Fase 2 da avaliação de conformidade da da Rússia com a Convenção Anti-suborno da Organização para Cooperação e Desenvolvimento Econômico (OCDE).De 2010 a 2011, James atuou como consultor especial do então diretor do FBI Robert S. Mueller, III, assessorando o diretor e outros executivos do FBI em questões de política criminal, preparando a Diretoria Executiva do FBI para testemunhar perante o Congresso, representando o FBI em reuniões entre agências e atuando como uma ligação entre o FBI e outros componentes do Departamento de Justiça.James foi reconhecido como um dos principais advogados da FCPA, nacional e globalmente, pela Chambers USA e pela Chambers Global, "recomendado" para investigações corporativas e advocacia de colarinho branco pelo Legal 500, um "especialista" e um "líder de pensamento" nas investigações do Who is Who Legal e um "advogado que importa" pelo Instituto Ethisphere por ter um impacto na área de ética e conformidade. Ele também recebeu o Prêmio de Serviço Distinto do Procurador Geral em reconhecimento ao seu trabalho nos julgamentos de Esquenazi e Duperval durante seu período no Departamento de Justiça.James é professor adjunto de defesa de julgamento no Centro de Direito da Universidade de Georgetown e é regularmente convidado para palestras nas principais faculdades de administração e direito sobre investigações, fiscalização de colarinho branco e questões anticorrupção.

James Koukios es copresidente del grupo de Litigios de Valores, Aplicación de la Ley y Defensa de Cuello Blanco de la firma y se desempeña como codirector global del grupo de FCPA (Foreign Corrupt Practices Act) + Anticorrupción de la firma. James representa a empresas e individuos en acciones gubernamentales de alto riesgo e investigaciones internas complejas.James, un abogado con experiencia litigando y ex fiscal federal, ha litigado más de 20 casos de jurado federal, incluyendo ser el fiscal principal en dos juicios históricos relacionados con la FCPA: Estados Unidos v. Esquenazi y Estados Unidos v. Duperval. James también se desempeñó como fiscal principal en Estados Unidos v. AEY Inc., un caso de fraude de adquisición de defensa y licencias de exportación que sirvió de base para la película de 2016 llamada “War Dogs”.<h4>Experiencia Representativa</h4><ul><li>Representó a compañías multinacionales de dispositivos médicos y farmacéuticos en investigaciones de la FCPA ante el gobierno.</li><li>Asistió a compañías y organizaciones multinacionales en varios sectores llevando a cabo investigaciones internas sobre posibles FCPA, ITAR, abuso de información privilegiada y otras violaciones.</li><li>Representó a una empresa y a varios de sus empleados en relación con las investigaciones sobre delitos de investigación del Consejo Especial.</li><li>Representó a una compañía de productos de consumo en una investigación criminal de seguridad de productos del gobierno.</li><li>Brindó asesoramiento legal de FCPA, asesoramiento anticorrupción, diligencia debida transaccional y asesoramiento de integración posterior a la adquisición a corporaciones multinacionales en varias industrias, incluyendo defensa, extracción, servicios financieros, alimentos, atención médica y tecnología.</li><li>Representó a personas en anticorrupción, anti-lavado de dinero, fraude de valores criminales, represalias de denunciantes, fraude de compras gubernamentales y otras investigaciones.</li><li>Defendió a directores independientes contra demandas por incumplimiento de obligaciones fiduciarias en un tribunal federal de quiebras.</li></ul>Antes de unirse a Morrison Foerster, James trabajó 10 años en el Departamento de Justicia de los Estados Unidos, comenzando su carrera como Asistente del Fiscal de los Estados Unidos en Miami y terminando su mandato en el Departamento de Justicia como Subjefe Principal de la Sección de Fraude de la División Criminal en Washington, D.C., donde supervisó investigaciones, enjuiciamientos y resoluciones en la FCPA de la Sección de Fraude, Fraude de Atención Médica y Unidades de Valores y Fraude Financiero. Mientras estuvo en el Departamento de Justicia, James investigó y procesó el fraude a la atención médica, el fraude de adquisiciones, la corrupción nacional y extranjera, el lavado de dinero y los delitos de control de exportaciones, trabajando en estrecha colaboración con los funcionarios estatales, federales y extranjeros encargados de hacer cumplir la ley, así como con la Comisión de Bolsa y Valores de EE. UU. (SEC); Departamentos de Defensa, Estado y Comercio de los Estados Unidos; y agencias de inteligencia. Asistió en la redacción de la publicación conjunta del Departamento de Justicia y la SEC, ampliamente aclamada, “Guía de recursos de la Ley de prácticas corruptas en el extranjero de EE. UU.” (“A Resource Guide to the U.S. Foreign Corrupt Practices Act”), que siguió a una serie de consultas con líderes empresariales y de cumplimiento. También fue un examinador principal para el examen de Fase 2 del cumplimiento de Rusia con la Convención Antisoborno de la Organización para la Cooperación y el Desarrollo Económico (OCDE).De 2010 a 2011, James se desempeñó como Asesor Especial del entonces Director del FBI Robert S. Mueller, III, asesorando al Director y a otros ejecutivos del FBI sobre cuestiones de política criminal, preparando a la Dirección Ejecutiva del FBI para el testimonio ante el Congreso, representando al FBI en las reuniones interinstitucionales, y actuando como enlace entre el FBI y otros componentes del Departamento de Justicia.James ha sido reconocido como abogado líder en FCPA tanto nacionalmente como globalmente por Chambers USA y Chambers Global, "recomendado" para investigaciones corporativas y defensa de cuello blanco por Legal 500, un "experto" y un "líder de pensamiento" en investigaciones de Who's Who Legal, y un "Abogado que importa" por Ethisphere Institute por tener un impacto en el área de ética y cumplimiento. También recibió el Premio al Servicio Distinguido del Fiscal General Adjunto en reconocimiento por su trabajo en los juicios de Esquenazi y Duperval durante su tiempo en el Departamento de Justicia.James es profesor adjunto de defensa de juicios en el Centro de Leyes de la Universidad de Georgetown y regularmente es invitado a conferencias en las principales escuelas de derecho y de negocios sobre investigaciones, aplicación de cuello blanco y temas anticorrupción.

James M. Koukios

<div class="videoWrapper"><iframe class="sticky-video" allowfullscreen="1" allow="autoplay; encrypted-media" frameborder="0" src="https://www.youtube-nocookie.com/embed/JqKSMBInKJ0?rel=0" title="Meet John Smith" title="iframe"></iframe></div>John E. Smith, former Director of the U.S. Treasury Department’s Office of Foreign Assets Control (OFAC), is co-head of Morrison Foerster’s National Security practice, and a member of the Crisis Management group and Investigations + White Collar group. After serving 11 years as a top official at OFAC and three years as its Director, Mr. Smith brings to the firm unmatched experience in <a href="/capabilities/national-security.html#SanctionsEmbargoes">economic sanctions</a>, enforcement, and national security.Both in the United States and globally, clients turn to Mr. Smith for his deep experience and unique perspective on the complexities and escalating risk of U.S. and multilateral sanctions. He is a trusted advisor for clients navigating significant civil and criminal enforcement actions by U.S. and other government prosecutors and regulators.While serving as a top official at OFAC, Mr. Smith was centrally involved in all aspects of developing, implementing, and enforcing U.S. government sanctions requirements. As OFAC Director, he oversaw every OFAC enforcement case against financial institutions and global operating companies.  Mr. Smith played a pivotal role as OFAC moved to the center of our nation’s response to the world’s most complex and challenging national security and foreign policy crises, working closely with other governments and multilateral agencies and the private sector.Mr. Smith has leading expertise on U.S. sanctions, anti-money laundering (AML), and export controls cases and policies. While serving at OFAC, he worked closely with the U.S. Department of Justice (DOJ) to pursue major sanctions and export controls enforcement matters, including significant civil and criminal penalties against major global actors and noteworthy cases against malicious cyber actors. He has overseen the U.S. government’s economic sanctions efforts, imposing sanctions on heads of state, countries, and illicit actors, conducting enforcement actions against dozens of major financial institutions and companies around the world, and developing innovative sanctions enforcement policies to address evolving U.S. national security priorities.Under his leadership as a top official at OFAC, Mr Smith:<ul><li>Supervised the investigation, preparation, strategy, and settlement of dozens of major enforcement cases for hundreds of millions of dollars involving apparent sanctions and export control violations by global financial institutions and corporations; </li><li>Led the development and imposition of some of the most significant sanctions ever involving Iran, Russia, North Korea, Syria, supporters of terrorism, weapons of mass destruction proliferators, malicious cyber actors, transnational criminal organizations, and narcotics traffickers; and</li><li>Acted for a period as the Treasury Under Secretary for Terrorism and Financial Intelligence (TFI), overseeing economic sanctions, illicit finance, and AML efforts by OFAC and other TFI components, including the Financial Crimes Enforcement Network (FinCEN). </li></ul>Prior to Mr. Smith’s 11-year tenure at OFAC, he served as the only American on a Security Council panel of experts charged with monitoring the implementation of UN-mandated sanctions on Al-Qaida and the Taliban. In this role, he led assessment visits to more than 20 countries in Africa, Asia, Europe, and the Gulf, meeting with top-ranking government officials, central banks, customs and export control offices, and intelligence agencies, as well as many of their financial institutions.Mr. Smith also served as a trial attorney in the Civil Division of the DOJ for five years. During his tenure, he defended U.S. agencies including OFAC in challenges to significant government programs and statutes, including the USA PATRIOT Act, the 2000 Census, and other matters involving highly sensitive and classified information. Mr. Smith acted as the lead trial counsel in defending the first legal challenges to the terrorist asset freezing program implemented by OFAC following September 11, 2001.Mr. Smith has received numerous noteworthy accolades throughout his career, including the Alexander Hamilton Award, the top award given by the U.S. Department of the Treasury (2018); and the Special Commendation for Outstanding Service (Anti-Terrorism), awarded by the DOJ (2002).Before joining the DOJ, Mr. Smith was a litigation attorney at a major international law firm. He also served as a law clerk for The Honorable Anthony J. Scirica on the U.S. Court of Appeals for the Third Circuit.Mr. Smith received his J.D. from Columbia University School of Law as a Harlan Fiske Stone scholar, where he served as Editor-in-Chief of the Columbia Journal of Law and Social Problems. He graduated cum laude from the University of Missouri-Columbia, with dual degrees of a Bachelor of Arts in political science and a Bachelor of Journalism.

John Smith

Jakob is counsel at Morrison Foerster’s German office in Berlin and a member of our Corporate, Compliance, and Investigations team with a focus on corporate compliance and internal investigations. He advises both foreign and domestic clients on all areas of corporate law.Jakob advises clients in compliance with legal matters, internal investigations, and corporate governance and assists clients in pursuing and defending damages claims arising out of compliance failures. He also advises clients on day-to-day business as well as on business transactions.Besides, Jakob advises on Environmental, Social, and Corporate Governance (ESG) related topics. For example, this includes advisory work on Germany’s Supply Chain Due Diligence Act. He also advises on ESG requirements deriving from the law of the European Union (SFDR, CSRD, NFRD, and draft CSDDD).Jakob holds an LL.M. from the University of Cambridge, UK and spent a semester at Harvard Law School as a visiting researcher. He earned his Dr. title from Humboldt-Universität zu Berlin.<h5>Representative Experience</h5><ul><li>Conducting an investigation on behalf of Landesbank Hessen-Thüringen regarding equity trades around dividend date</li><li>Advising Daimler AG regarding diesel emissions</li><li>Representing a German bank in court proceedings to pursue damages arising out of noncompliance with tax obligations</li><li>Investigating tax structured transactions on behalf of a German bank</li><li>Advising a German bank in pursuing damages claims against several former directors and related D&O insurance topics</li><li>Providing corporate advice to a retail consumer cooperative regarding the foundation of a joint venture with a major German trade company</li><li>Assessing board liability claims for various DAX 30 subsidiaries</li><li>Providing ongoing corporate advice to U.S. investors regarding investments in German companies</li></ul>

Dr. Jakob Tybus ist Counsel des deutschen Büros von Morrison Foerster in Berlin und Mitglied unseres Corporate, Compliance und Investigations Teams mit einem Schwerpunkt im Bereich Corporate Compliance und internen Untersuchungen. Er berät zudem nationale und internationale Mandanten im Bereich des Personen-, Kapitalgesellschafts- sowie Konzernrechts.Im Rahmen seiner Compliance-Tätigkeit berät Jakob Tybus Mandanten insbesondere zu deutschen und US-amerikanischen Compliance-Anforderungen und Auswirkungen des Steuerrechts auf Transaktionen im Bankenbereich. Zu seiner Compliance-Beratung gehört u.a. die Durchführung interner Untersuchungen bei konkreten Verdachtsfällen im In- und Ausland, auch im Zusammenhang mit staatsanwaltschaftlichen Ermittlungen, die Durchführung verdachtsunabhängiger Compliance-Reviews sowie die Durchsetzung von Schadensersatzansprüchen bei Nichteinhaltung von Compliance-Anforderungen. In diesem Zusammenhang führt Dr. Jakob Tybus für Mandanten auch Verfahren vor staatlichen Gerichten und Schiedsgerichten und berät zu D&O-Versicherungsthemen.Außerdem berät Jakob Tybus zu Compliance- und Corporate Governance-Themen sowie Environmental, Social and Corporate Governance („ESG“). Dazu gehört beispielsweise die Beratung zum deutschen Lieferkettensorgfaltspflichtengesetz. Er berät auch zu ESG-Anforderungen, die sich aus dem Recht der EU ergeben (SFDR, CSRD, NFRD, Entwurf der CSDDD).Zusätzlich berät er deutsche und internationale Mandanten bei nationalen und grenzüberschreitenden VC-Investments und zu Fragen des Gesellschaftsrechts.Dr. Jakob Tybus hat seinen LL.M. an der University of Cambridge erworben und verbrachte einen Forschungsaufenthalt als Visiting Researcher an der Harvard School of Law. Seinen Dr. Titel erwarb er an der Humboldt-Universität zu Berlin. Vor seinem Eintritt bei Morrison Foerster im Jahr 2019 arbeitete er als Rechtsanwalt in einer internationalen Wirtschaftskanzlei in Berlin.<h4>Referenzen</h4><ul><li>Untersuchungen für die Landesbank Hessen-Thüringen zu Aktiengeschäften in Nähe des Dividendenstichtags und steuerrechtlich strukturierten Transaktionen</li><li>Beratung der Daimler AG im Zusammenhang mit Diesel-Emissionen</li><li>Untersuchung für eine Landesbank zu steuerlich strukturierten Transaktionen</li><li>Vertretung einer Landesbank bei der außergerichtlichen und schiedsgerichtlichen Geltendmachung und Durchsetzung von Organhaftungsansprüchen und Beratung zu Fragen der D&O Versicherung</li><li>Gerichtliche Vertretung einer Landesbank in Schadensersatzprozessen wegen Nichteinhaltung steuerrechtlicher Vorschriften</li><li>Gesellschaftsrechtliche Beratung einer Einzelhandelskonsumgenossenschaft bei der Gründung eines Joint Venture mit einem großen deutschen Handelskonzern</li><li>Prüfung von Organhaftungsansprüchen für diverse Tochtergesellschaften von DAX 30 Unternehmen</li><li>Laufende Beratung U.S.-amerikanischer Investoren bei der Beteiligung an deutschen Gesellschaften</li></ul>