Compliance Investigations and Reporting

• Jurisdiction: European Union
• Author: Moritz von Kunow
• Year: 2021

Speaker

Moritz is chief compliance officer, corporate secretary and heading legal services at Bank of Communications (Luxembourg) S.A. and Bank of Communications, Co., Ltd., Luxembourg Branch. He is also a permanent member of the European credit committee. He joined in 2015 when the Shanghai based banking group opened its subsidiary and branch in his current roles and two branches in France and Italy were added since.

He joined his previous bank, Banque LBLux S.A., a former Luxembourg subsidiary of Bayerische Landesbank, in 2007. He was legal counsel in corporate banking covering the Benelux market. After several years of negotiating and implementing the restructuring of company and project loans, Moritz was appointed general counsel and later chief compliance officer. As such, he oversaw the sell-off and rundown of banking operations, before joining his current employer.

Topic

This presentation delves into the critical realm of compliance investigations and reporting, shedding light on the essential principles and fundamental steps that underpin the investigative process. It covers a comprehensive range of topics, including the meticulous approach to investigations, the gathering and analysis of evidence, and the systematic examination of potential violations.

Emphasizing the significance of thorough reporting, the discussion expounds on how to effectively document findings, ensuring clarity, accuracy, and transparency in the reporting process. Additionally, it highlights the pivotal role of comprehensive reports in presenting a clear picture of the investigation's outcomes and supporting subsequent actions.

The presentation also tackles the crucial aspect of follow-up actions, elucidating the importance of implementing remedial measures and preventive strategies. It explores how to address identified issues proactively, making certain that compliance breaches are addressed promptly and effectively to prevent their recurrence.

Furthermore, the session dedicates considerable attention to the seamless transition during the handover of duties post-investigation. It elucidates the necessary protocols and communication channels that facilitate the...