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While there has been significant growth in the availability of guidance on compliance worldwide to date, there has been no systematic guide to how exactly compliance fits into the enforcement equation.

Being aware of legal implications is the first step to mitigating risk. This involves an understanding of

  • an overview of the compliance regimes in respect of economic crime and misconduct in difference jurisdictions in terms of both requirements and enforcement
  • practical assistance to practitioners tackling the challenges created by multifaceted and multijurisdictional global compliance issues
  • insight and guidance on key emerging areas in respect of compliance in economic misconduct

The Guide to Compliance, published by Global Investigations Review (GIR), brings together compliance guidance and criminal enforcement trends relating to financial crimes and misconduct. Baker McKenzie partners have contributed two chapters in GIR’s guide.

Chapter Feature: Asia Pacific Compliance Enforcement

Understand the trends in relation to legislative and regulatory compliance enforcement in Asia Pacific.

The chapter covers:

  • Key areas of enforcement priorities, including anti-bribery and anti-corruption (ABC), anti-money laundering (AML) and other key criminal offenses affecting multinational corporations
  • An overview of emerging compliance issues and enforcement trends relevant to multinational corporations and other commercial organizations with cross-border business

Written by Mini vandePol, Christine Cuthbert, Gerald Lam, Andrea Kan and Yuki Yung

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Chapter Feature: Compliance Issues in Corporate Transactions

Identifying compliance risks in corporate transactions is essential not just to avoid the risk of a purchaser making a bad buy but also to avoid any risk of successor liability or future civil claims for historic or ongoing compliance issues.

The chapter covers:

  • Key compliance areas in due diligence
  • How to go about an effective assessment of compliance policies and procedures or issues in third-party dealings
  • How to go about remediating compliance issues identified in the course of the due diligence process

Written by Georgie Farrant, Gareth Austin, Michelle Rae Heisner and Andrew Martin

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* An extract from the first edition of GIR’s The Guide to Compliance. The whole publication is available at the GIR website.

Author

Mini vandePol is the Head of Baker McKenzie's Asia Pacific Compliance & Investigations Group, after successfully completing three years as the Global Chair. Mini focuses on anti-bribery and corruption, trade sanctions, fraud and other senior executive misconduct investigations across Asia but most particularly in Hong Kong, China and India. Mini has more than 30 years' experience and is the trusted advisor to the boards and audit committees of the Firm's most significant global clients — assisting them to establish and enhance their risk management programs, assess risks in transactional opportunities and credibly investigate transgressions to support a strong commitment to a culture of compliance. In her previous Global Chair role, she led a team of 900+ compliance and investigations practitioners in Asia Pacific, EMEA, Latin America and North America, which was ranked amongst the Top 10 global investigations firms by Global Investigations Review in 2016, 2017 and 2018. Mini herself has recently been awarded "Woman Lawyer of the Year" in The Macallan ALB Hong Kong Law Awards and "Best in White Collar Crime" Euromoney Asia Women in Business Law Awards in 2019. She is also named as one of the "Top 100 Women in Investigations" by Global Investigations Review. Mini is the Firm's representative assisting the World Economic Forum's Partnering Against Corruption Initiative (PACI) and a member of the WEF's Global Future Council.

Author

Christine is a special counsel in the Hong Kong disputes practice, specialising in corporate crime and investigations. She has over 10 years' experience in all forms of contentious work, including cross-border investigations and litigation, as well as other corruption-related matters. She has acted for clients in disputes with regulators and other parties, both through litigation and different forms of dispute resolution, including arbitration, mediation and complex negotiations. She previously worked for another top international firm in its offices in both Hong Kong and Australia.

Author

Gerald Lam is a senior associate in Baker McKenzie's Hong Kong Dispute Resolution Practice Group, and specialises in international risk and investigations. He has particular experience in advising multinational clients on global anti-corruption and compliance matters in relation to cross-border investments and operations, including on anti-bribery and corruption, international economic sanctions, AML and financial fraud, with a special focus on the financial services, private equity, life sciences and TMT sectors. Prior to joining Baker McKenzie, he previously worked for a top global law firm based in Hong Kong.

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Andrea Kan is an Associate in Baker & McKenzie, Hong Kong office.

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Yuki Yung is an Associate in Baker McKenzie, Hong Kong office.

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Gareth Austin is an associate in Baker McKenzie’s Dispute Resolution practice group in Sydney. He joined the Firm as a Summer Clerk in 2014 and commenced his current role in 2017. Prior to this, Gareth had experience in construction and other commercial practice areas.

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Michelle Heisner is a member of the Firm's Global Corporate and Securities Practice Group. Michelle's industry experience includes clients in the energy, telecommunications, financial services, and technology sectors. Earlier in her career, Michelle worked as an M&A attorney at a leading global law firm at its offices in New York, Australia and Washington, DC.

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Andrew Martin is the Managing Principal and co-head of the M&A Practice Group in Singapore. He is recognised as a leading lawyer by legal directories such as Chambers Asia Pacific and Legal 500. He trained and initially worked in England, followed by several years in Hong Kong and Australia before settling in Singapore in 2002.

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Georgie has over 20 years experience in dispute resolution, investigations and compliance work in the UK and Australia, acting for clients in a range of industries including healthcare, financial services and real estate. Georgie is the practice group head of the Australian Dispute Resolution Group and the Australian Head of the Compliance & Investigation Group.

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