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In brief

As we say farewell to the Year of the Rabbit and move into the Year of the Dragon, it is a good time to reflect on the challenges faced, your successes, and what lessons you have learned along the way.


It is also a good time to set yourself some goals and resolutions. To help you on your way, we are pleased to share our top 5 Lunar New Year Resolutions for handling Internal or Government Investigations:

  1. I will prepare an investigation plan.
  2. I will take care collecting and reviewing data.
  3. I will preserve legal professional privilege.
  4. I will prepare my team to prevent a crisis.
  5. I will make sure that the problems we find are fixed.

Investigations are an essential tool for ensuring a company’s ethical standards are being followed by employees, business partners, and any others with whom the company interacts. However, investigations are also an essential tool for demonstrating and maintaining strong corporate governance – an integral part of a company’s ESG commitments and strategy.

Click here to access the full booklet.

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About Baker McKenzie’s Investigations, Compliance and Ethics Group.

Our Global Investigations, Compliance & Ethics Group of 500+ lawyers across 74 offices provides compliance risk advice and conducts internal and regulator-driven investigations in a variety of areas: anti-bribery and corruption, anti-money laundering, whistleblower complaints, sanctions and boycotts, anti-trust, data privacy, cybersecurity, fraud, tax, regulatory conformance and enforcement and HR misconduct. We assist multinational clients with internal and external cross-border investigations. We understand national regulatory processes, legal powers, and enforcement tactics used in taking enforcement actions. Please do reach out if you would like to discuss further.

Author

Mini vandePol is the Head of Baker McKenzie's Asia Pacific Investigations, Compliance & Ethics 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

Henry Chen has more than 17 years of experience in handling cross-border compliance and investigation matters. As a US- and PRC-trained lawyer, he has advised many multinational corporations on navigating and managing compliance risks in a variety of areas, including anti-bribery and corruption, anti-money laundering, anti-unfair competition, customs, data protection and cybersecurity, employee misconduct, ESG, financial crime, fraud, and whistleblower allegations.

Prior to joining the Firm, Henry acted as the Asia Pacific Director for Investigations at a Fortune 500 pharmaceutical company and led its regional compliance investigations. Besides Shanghai, he had also worked in Washington, DC, Hong Kong and Beijing as a compliance professional.

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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