Introduction

Regulatory & Criminal Enforcement

De Brauw’s Regulatory and Criminal Enforcement group advises and represents major corporations, financial institutions and prominent individuals in a wide range of regulatory and criminal enforcement matters regarding inter alia securities laws, insider trading, competition law, economic sanctions, anti-corruption laws and other regulatory regimes.

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Our Regulatory and Criminal Enforcement group has been involved in a great number of enforcement actions brought by a variety of enforcement agencies, including the Dutch Central Bank (DNB), the Financial Markets Authority (AFM), the Dutch public prosecutor, the SEC, the US Department of Justice, OFAC, the FED, the FSA and other agencies. De Brauw has extensive experience in defending clients in ensuing civil, administrative and criminal court proceedings, as well as in negotiating (confidential) settlements with criminal and regulatory agencies for our clients.

De Brauw’s Regulatory and Criminal Enforcement group leads internal investigations into matters such as market manipulation, corporate fraud and regulatory and antitrust violations.
During the past years, De Brauw has been at the forefront of conducting large-scale multi-jurisdictional internal investigations for corporations and financial institutions, listed in Europe, the United States and Asia. Recent investigations include topics such as:

•  Insider trading
•  Market manipulation
•  Tipping
•  Bank and securities fraud
•  Fraud
•  Real estate
•  Money laundering
•  Regulatory compliance failures
•  Antitrust violations
•  FCPA violations
•  International trade: UN, US and EU sanction programs and export controls

So far, we have succeeded in keeping most of these matters confidential, resolving issues with enforcement agencies amicably and out-of-court.

For each investigation, De Brauw forms a multi-disciplinary team, leveraging the vast resources of the firm in corporate governance, litigation, compliance, regulatory enforcement and data protection laws. Often De Brauw instructs or closely cooperates with members of our international network of law firms and financial and IT specialists.

De Brauw also counsels its clients on preventive measures and compliance programmes.

Please contact Marnix Somsen or Patrick Ploeger for more information.