The law office of Anika Feger (lawyer) advices exclusively on compliance. The clients are listed corporations headquartered in Germany with subsidiaries and branches worldwide as well as medium-sized companies.

EXPERTISE

Due to the long-term professional experience of Anika Feger within legal and compliance departments in companies of different legal types and sizes as well as existing knowledge about internal processes, you receive tailor-made and practice-oriented advisory services for your company.

SPECIALISATION

Because of our exclusive specialisation in compliance and related legal interfaces, this approach results in the provision, at a fundamental level, of the very highest standard of advisory services.

TOPICALITY

The specialisation ensures a current understanding of new legal requirements in the regulatory environment. This guarantees a timely and comprehensive advisory service on the impact on your operational processes.

CLIENTS

Our clients are investment service companies, credit institutions, financial service providers, asset managers, fintech companies, industrial and trading companies, insurance companies, foundations, public sector corporations and associations.

REFERENCES

Due to our specialisation in compliance, we also support companies in dealing with sensitive issues. For this reason, we completely refrain from publishing reference companies on our homepage. If clients are interested in our advisory services, we are happy to present our relevant references in a personal meeting, according to the required advisory service.

FURTHER INFORMATION

Our advisory services do not include the legal representation of clients in court. Furthermore, we do not offer outsourcing services of compliance functions (e.g. compliance, anti-money laundering or data protection officer). However, we would be pleased to support you in setting up your own compliance function in your company and offer in-house training and workshops for compliance officers for this purpose.

CURRENT NOTICE DUE TO CORONAVIRUS / COVID-19

The health of our clients as well as of our employees is of great importance to us. For this reason, we have reacted to the current recommendations of the German Federal Government and offer all advisory services, training and workshops also via video conferencing or as a webinar. Please do not hesitate to contact us if you have any questions on this subject.

EXAMPLES OF COMPLIANCE MANDATES


OMBUDSPERSON / WHISTLEBLOWING SYSTEMS

Implementation of whistleblowing systems for clients and adoption of ombudsperson function. The employees of our clients may use our whistleblowing system to report suspicious cases. The whistleblowing system ensures the anonymity of the whistleblowers.

DEVELOPMENT OF COMPLIANCE DEPARTMENTS

Advising companies in developing a compliance department, taking into account the required compliance functions. Training and workshops for compliance officers to provide expert knowledge, e.g. for the performance of compliance risk analysis, the implementation of compliance controls or the preparation of an annual compliance report.

COMPLIANCE MANAGEMENT SYSTEMS

Implementation of compliance management systems in line with the international compliance standard ISO 19600 as well as the international standard ISO 37001 for anti-corruption management systems. Preparation of companies for compliance certifications by registered certification institutes.

COMPLIANCE RISK ANALYSIS

Performance of in-house workshops and assessments to determine the existing compliance risks of a company. Development of recommendations for action to reduce compliance risks on the basis of the results of the compliance risk analysis.

COMPLIANCE GUIDELINE MANAGEMENT

Development of compliance guideline management as a result of systematic legal monitoring regarding relevant rules and regulations to ensure compliant internal processes.

DEVELOPMENT AND PERFORMANCE OF COMPLIANCE CONTROLS

Development of a compliance control concept to reduce compliance risks on the basis of the results of the compliance risk analysis. Implementation of individual compliance checks.

INTERNAL INVESTIGATIONS

Performance of internal investigations to identify criminal or administrative offences with a comprehensive analysis and written documentation usable by courts. Depending on the scope of the investigated case, cooperation partners may be involved.

COMPLIANCE TRAINING AND WORKSHOPS

Performance of compliance training and workshops on relevant compliance topics. (e.g. management workshop for the development of the compliance culture within the respective company or training for the implementation of a compliance management system, for the disclosure obligations for listed stock corporations, antitrust compliance, money laundering prevention, sanctions and embargoes, data protection, IT-compliance or recommendations on action and procedures in relation to investigations by authorities).

We offer to carry out training and workshops in the modern conference room in our law office up to a number of 10 participants. Of course, you have the alternative of in-house training or workshops in your company. Given the current situation, we also offer all training and workshops as a webinar.

EXAMPLES OF COMPLIANCE MANDATES


MONEY-LAUNDERING PREVENTION

Legal-Check for companies to the status of obliged party under the German Money Laundering Act (GWG). Advice on obligations in connection with the appointment of a money-laundering officer. Identification of beneficiary owners and advice on the obligations in relation to necessary entries in the German Transparency Register. Conducting risk analysis and deriving preventive measures (e.g. Anti-Money-Laundering (AML) transaction monitoring). Implementation of Know-Your-Customer (KYC) procedures. Advice on suspicious activity reports. Performance of in-house training and workshops.

ANTI-BRIBERY & ANTI-CORRUPTION

Advising companies on the requirements of the German Anti-Bribery and Anti-Corruption Rules as well as the UK Bribery Act and the US Foreign Corrupt Practices Act (FCPA). Implementation of company standards for accepting and giving gifts and entertainment as well as related approval processes. Performance of in-house training and workshops. Implementation of international standard ISO 37001 for anti-corruption management systems and preparation for compliance certifications by registered certification institutes.

ANTITRUST-COMPLIANCE

Carrying out assessments to determine antitrust risks of a company. Advising companies on the implementation of processes and employee information to ensure compliance with antitrust law. Training of employees regarding recommendations on action to prevent (even unconscious) prohibited price agreements with competitors.

COMPLIANCE DUE DILIGENCE ON MERGERS AND ACQUISITIONS

Compliance due diligence of targets to reduce compliance risks for acquiring companies in mergers and acquisitions. Performance of checks and assessments to identify compliance risks of targets. Reorganisation of compliance departments after closing.

DISCLOSURE OBLIGATIONS FOR LISTED STOCK CORPORATIONS

In-house training and workshops for members of the supervisory board, the upper management and other employees relevant to the disclosure obligations for listed stock corporations. Presentation of the requirements relating to the timely disclosure of reports, ad hoc announcements or directors‘ dealings obligations including examples.

DATA PROTECTION COMPLIANCE

Inhouse training on the requirements of the European Data Protection Regulation and national data protection regulations. Support with the performance of data protection impact assessments. Implementation checks to verify the status of implementation requirements and advice on recommendations for action.

IT-COMPLIANCE

Support with the implementation of the legal requirements in relation to the relevant IT-Compliance topics data security, data protection and cyber-security. Legal checks for companies on the status of critical infrastructure operator (KRITIS) and advice on the necessary implementation measures. Examination and advice on the existence of reportable facts.

EXAMPLE OF COMPLIANCE MANDATES FINANCIAL SECTOR


BREXIT - DEVELOPMENT OF COMPLIANCE DEPARTMENTS FOR FINANCIAL SERVICE INSTITUTIONS

Advising financial services institutions (including investment service providers) located outside EU (e.g. England) regarding the development of compliance departments for legal independent subsidiaries located in Germany. Advice to the existing German requirements for BaFin-regulated financial services institutions.

SPECIAL EXPERTISE TRAINING FOR INVESTMENT SERVICE PROVIDERS

Performance of special expertise training for the specific BaFin-registered employee groups of investment service providers (investment advisor, sales coordinators, sales representatives, employees of portfolio management departments and compliance officers).

COMPLIANCE MANAGEMENT FOR PAYMENT SERVICE PROVIDERS

In-house training and workshops especially for payment service providers on the challenges of implementing compliance measures. Presentation of a best-practice approach for compliance with the requirements of anti-money laundering, sanctions and embargoes, know-your-customer procedures, complaint management and the compliance-relevant requirements of the German Payment Services Supervision Act (so-called Zahlungsdiensteaufsichtsgesetz (ZAG)).

ADVISING PORTFOLIO MANAGERS TO REGULATORY REQUIREMENTS

Advising BaFin-regulated portfolio managers regarding the existing regulatory requirements and their impact on internal processes. Performance of MiFID II checks. Audit of contracts, templates for the documentation of information about clients as well as information for clients about portfolio management services.

IMPLEMENTATION OF REGULATORY REQUIREMENTS

Support with the implementation of new rules and regulations (e.g. to the so-called German regulatory requirements KWG/MaRisk, WpHG, WpDVerOV, WpHGMaAnzV, MaComp, ZAG and MaDepot as well as the EU regulations MiFID II or PSD 2). Advice to BaFin-regulated companies on the expansion of new business areas (e.g. automated portfolio management or robo advice).

OPTIMIZATION OF COMPLIANCE PROCESSES FOR FINANCIAL SERVICE PROVIDERS

Optimization of existing compliance processes for conducting compliance risk analyses and the resulting compliance controls as well as other compliance processes, such as legal monitoring or policy management. Implementation of coordinated and harmonized compliance processes.

COMPLIANCE CONTROLS FOR FINANCIAL SERVICE PROVIDERS

Implementation of compliance control concepts for financial service providers as well as (temporary) performance of compliance controls to support companies with short-term personnel bottlenecks or for the induction of (new) employees.

PREPARATION OF COMPANIES FOR SPECIAL AUDITS OF AUTHORITIES

Training of employees (e.g. investment advisor) for interviews performed by authorities during on-site inspections. Support for companies in answering enquiries from authorities.

Anika Feger

Lawyer (registered since 2010)
Certified Compliance Professional (CCP)
Compliance Auditor (TÜV)
Ombudsperson
Speaker at conferences and advanced training courses
Author of various specialised publications
Professional experience: long-term in-house activity as a compliance-officer, an anti-money laundering officer as well as an in-house counsel. This includes a compliance function within the global markets compliance department of a DAX 30 company.

Sahra Veith

Diplom-Juristin
Legal Assistant
Law Office Management

Katharina Werner

LL.B. Good Governance – Economics, Society and Justice
Legal Assistant

Publizitätspflichten für börsennotierte Aktiengesellschaften –
Darstellung der aktuellen Ahndungspraxis und Präventionsmaßnahmen

Anika Feger und Sahra Veith in: Compliance-Berater, Juni 2020

Compliance Due Diligence als Bestandteil des Compliance-Managements –
Reduzierung von Risiken bei M&A-Deals nach Veröffentlichung des Leitfadens des DOJ sowie des Entwurfs zum Verbandssanktionengesetz

Anika Feger in: Compliance-Berater, Januar/Februar 2020

Product Governance als Bestandteil des Compliance-Managements –
Ein Vergleich der Entwicklungen in Industrie-, Versicherungs- und Wertpapierdienstleistungsunternehmen

Anika Feger in: Compliance-Berater, Oktober 2018

Product Governance in Vertriebsunternehmen

Anika Feger in: MiFID II - Recht, Praxis, Perspektiven
Frankfurt School Verlag, 1. Auflage 2018

Kapitalmarkt-Compliance - Product Governance-Prozesse im internationalen Kontext

Anika Feger in: Fraud & Compliance Management - Trends, Entwicklungen, Perspektiven
Frankfurt School Verlag, 1. Auflage 2018

Herausforderungen des Robo-Advice aus Sicht der Compliance-Funktion nach WpHG

Anika Feger in: Compliance-Berater, Oktober 2017

Zuwendungen nach den Entwürfen zum Zweiten Finanzmarktnovellierungsgesetz

Anika Feger in: Banken Times Klassik, Juni 2017

Die Geeignetheitserklärung nach dem Entwurf zum Zweiten Finanzmarktnovellierungsgesetz

Anika Feger in: Banken Times Klassik, Mai 2017

Product Governance –
Neue Regelungen für Wertpapierdienstleistungsunternehmen nach den Entwürfen zum Zweiten Finanzmarktnovellierungsgesetz

Anika Feger in: Banken Times Klassik, April 2017

Wesentliche Änderungen durch den Entwurf des Zweiten Finanzmarktnovellierungsgesetz

Anika Feger in: Banken Times Klassik, Dezember 2016/Januar 2017

Auswirkungen der WpHG-Mitarbeiteranzeigeverordnung auf Compliance

Anika Feger in: Bank Praktiker, Oktober 2012

OWNER COMPLIANCE LAW OFFICE

Anika Feger, Lawyer
Certified Compliance Professional (CCP)

LEGAL ASSISTANTS

Sahra Veith, Dipl.-Jur.
Katharina Werner, LL.B.

CONTACT DETAILS

Alfred-Bozi-Straße 12
33602 Bielefeld / Germany
Phone: +49 521 32930340
Fax: +49 521 32930349
info@legalandcompliance.de
www.legalandcompliance.de

HOW TO REACH US

Our law office is located in Westend-Tower in Bielefeld. We recommend using the public parking garage Am Zwinger 14, 33602 Bielefeld, which is located opposite Westend-Tower. You can access the public parking garage via Elsa-Brandström-Straße or Stapenhorststraße.