16
GOVERNANCE, COMPLIANCE AND INVESTIGATIONS
GOVERNANCE, COMPLIANCE AND INVESTIGATIONS
2
Contents
04 OurFirm
05 OurFootprintinAfrica
06 OurGovernance,ComplianceandInvestigationsPractice
07 OurSpecialistServices
12 Accolades
14 KeyContacts
Governance, Compliance and Investigations
3
Our Firm
Bowmans is a leading Pan-African law firm. Our track record of providing specialist legal services, both domestic and cross-border, in the fields of corporate law, banking and finance law and dispute resolution, spans over a century.
WithsixofficesinfourAfricancountries
andover400specialisedlawyers,
wearedifferentiatedbyourgeographical
reach,independenceandthequalityoflegal
servicesweprovide.
Wedrawonouruniqueknowledgeofthe
Africanbusinessenvironmentandin-depth
understandingofthesocio-politicalclimate
toadviseclientsonawiderangeoflegal
issues.Ouraimistoassistourclientsin
achievingtheirobjectivesassmoothlyand
efficientlyaspossiblewhileminimisingthe
legalandregulatoryrisks.
Ourclientsincludecorporates,multinationals
andstate-ownedenterprisesacrossarange
ofindustrysectorsaswellasfinancial
institutionsandgovernments.
Ourexpertiseisfrequentlyrecognised
byindependentresearchorganisations.
WehavebeennamedAfricanLegalAdviser
byDealMakersforthelastthreeconsecutive
yearsandSouthAfricanLawFirmofthe
Yearfor2016bytheWho’s Who Legal.Most
recently,wewontheTechnology,Mediaand
TelecommunicationsTeamoftheYearAward
attheprestigiousAfricanLegalAwardshosted
byLegal WeekandtheCorporateCounsel
AssociationofSouthAfricain2017.Thefirm
wasalso‘highlycommended’intheAfrican
LawFirmoftheYear–LargePracticeand
LitigationandDisputeResolutionTeamof
theYearcategories.
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Bowmans offices
Relationship firm
Significant transaction or advisory experience
Bowmans offices
Relationship firm
Significant transaction or advisory experience
SOUTH AFRICA MOZAMBIQUE
NIGERIA
KENYA
TANZANIA
UGANDA
Bowmans offices
Relationship firm
Significant transaction or advisory experience
SOUTH AFRICA MOZAMBIQUE
NIGERIA
KENYA
TANZANIA
UGANDA
Our Footprint in Africa
Bowmans offices
Relationship firm
Significant transaction or advisory experience
SOUTH AFRICA MOZAMBIQUE
NIGERIA
KENYA
TANZANIA
UGANDA
Bowmans offices
Relationship firm
Significant transaction or advisory experience
SOUTH AFRICA MOZAMBIQUE
NIGERIA
KENYA
TANZANIA
UGANDA
Bowmans offices
Relationship firm
Significant transaction or advisory experience
SOUTH AFRICA MOZAMBIQUE
NIGERIA
KENYA
TANZANIA
UGANDA
Weprovideintegratedlegalservices
throughoutAfricafromsixoffices(Cape
Town,DaresSalaam,Durban,Johannesburg,
KampalaandNairobi)infourcountries
(Kenya,SouthAfrica,TanzaniaandUganda).
WeworkcloselywithleadingNigerianfirm
UdoUdoma&Belo-Osagie,andMozambique-
basedboutiquefirm,TacianaPeãoLopes&
AdvogadosAssociados.Wealsohavestrong
relationshipswithotherleadinglawfirms
acrosstherestofAfrica.
WearerepresentativesofLexMundi,aglobal
association,withmorethan160independent
lawfirmsinallthemajorcentresacrossthe
globe.Thisassociationgivesusaccesstothe
bestfirmsineachjurisdictionrepresented.
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Governance, Compliance and Investigations
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Therehasbeenaglobalshifttowardsthe
enforcementofanti-corruptionlegislation.
Thiscoupledwithsignificantfinesandpenalties,
highlightstheneedforspecialisedgovernance,
complianceandinvestigationlegalservices.
OurGovernance,ComplianceandInvestigations
Practicerepresentsabroadspectrumofprivate
andpublicsectorclientsincludingmajorlistedand
unlisteddomesticandinternationalcorporations
andbankinginstitutions,state-ownedenterprises,
governmentdepartments,localgovernment
institutionsanddevelopmentinstitutions.
Weundertakespecialistforensicinvestigations;
providegovernance,corruptionandregulatory
complianceadvice;andcompleterisk
managementreviews.
Weactforclientsininvestigationsand
proceedingsbycriminalandregulatoryagencies
andhavebeeninvolvedinseveralhighprofileand
publicinterestcases.Theseincludethelargest
PonzischemeinvestigationinAfricaandoneof
thelargestandmostcomplextaxinquiriesin
SouthAfricatodate.
We undertake specialist
forensic investigations;
provide governance, corruption
and regulatory compliance
advice; and complete risk
management reviews.
Ourserviceextendstoidentifyingspecific
governanceand/orcompliancerisksthat
resultedinprejudiceand/orlosses,andmaking
recommendationstomitigatethese.
Ourspecialistteamcancalluponmorethan
60highlyqualifiedandexperiencedlawyers,
accountants,forensicinvestigatorsandcomputer
forensicspecialists.
Allofourengagementsareledbylawyers,who
areabletocompileteamsofspecialistsasper
therequirementsofspecificassignments.Weare
thereforeabletoimplementrecommendations
flowingfromanygovernance,complianceor
investigativeengagementimmediately.These
includeinitiatinganddefendingcivilproceedings;
initiatingdisciplinaryenquiriesandcriminal
investigations;andtakingremedialstepsto
addresstheriskofcorporatecriminalliability.
Ourclientsenjoytheprotectionoflegal-
professionalprivilege(whileteamsledby
accountantsdonot).Ourreports,clientadvice
andattorney-clientcorrespondencearetherefore
protectedagainstsubpoenaorforceddisclosure
tothirdparties.
Wegenerallyinstructaforensicchartered
accountantwhoplaysanintegralroleinthe
investigationandactsasaspecialistwitness.
Thisapproachhasprovenextremelyeffective.
Ourexpertwitnessisabletopresentthe
evidenceinanunderstandable,clearand
methodicalwaydiminishingtheimportanceof
othernon-expertwitnesseswhoareusuallycalled
onlytocorroboratetestimonyofothers.
Ourreachisparticularlysignificantingovernance,
complianceandinvestigationsmatterswhereour
clientsareincreasinglyaffectedbyanti-corruption
legislationwithextra-territorialapplication
(suchastheUSForeignCorruptPractices
Act,theUKBriberyActandtheSouthAfrican
PreventionandCombatingofCorruptActivities
Act)andbyinternationalconventionswithwide
application(forexample,theOECDConventionon
CombattingBriberyofForeignOfficialsandthe
UnitedNationsConventionagainstCorruption).
Our Governance, Compliance and Investigations Practice
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FRAUD RISK MANAGEMENT AND ADVISORY SERVICES
• fraudpreventionanddetection;
• fraudriskanalysisandduediligence;
• thirdpartyduediligenceand
corporateintelligence;
• employeeandsuppliervetting;
• development,implementationand
evaluationofethicsandcompliance
programmesandrelatedanti-fraudand
corruptionprogrammesandcontrols;
• counterindustrialintelligence;
• assettracingandrecovery;and
• forensicdataanalytics.
DISPUTE RESOLUTION
Our Specialist Services
Ourmainfocusareasinclude:
INVESTIGATIONS
• forensicinvestigations(extendingtothose
requiredinliquidationsandbusinessrescue)
andforensicinvestigativeassistance;
• criminalinvestigationsand
relatedproceedings;
• financial,economicandtaxinvestigations;
• employmentlawrelatedforensicissues;
• expertwitnessservices;
• publicandprivatesectorprocurementissues;
• assettracing,commercialrecoveriesandother
proceedings;and
• computerforensicservices,electronic
discoveryandcybercrime.
CORPORATE AND REGULATORY COMPLIANCE
• anti-briberyandcorruptioncomplianceand
duediligence;
• FCPAandUKBriberyActcompliance;
• anti-moneylaunderingcompliance;and
• trainingrelatedtoallrelevantfraud,corruption
andcompliancesubjects.
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INVESTIGATIONS
Wehaveaproventrackrecordininvestigations
intoseriousandcomplexcommercialand
regulatoryfraudcases.
Ourexperienceenablesustoprovidesound
adviceconcerningthebestcourseofaction
ifwrongdoingisidentified,includingpotential
disclosuretoauthorities.Wearealsoable
toprovidelegalopinionsonourfindings,a
servicethatnon-legalfirmsareprecluded
fromproviding.
Weensurethatinvestigationsareconducted
incompliancewithallrelevantlawsand
regulations,includingprivacyanddata
protectionlaws,andthatallevidencecollected
isadmissibleandrelevantforassertingor
protectingtheclient’srights.
Our experience enables us
to provide sound advice
concerning the best course
of action if wrongdoing is
identified, including potential
disclosure to authorities.
Allinvestigationsareconducteddiscreetly
andwithakeenappreciationforthe
reputationalriskassociatedwithallegations
ofwhitecollarcrimeorregulatorymisconduct
madeagainstacompanyorpublicorganisation.
Allinformationprovidedtousistreatedinthe
strictestconfidence.
Seamlessservicedeliveryisoneofthebenefits
ofretainingustoconductinternalorexternal
investigations.Ourclientsofteninstructusto
initiatedisciplinaryproceedings,civilrecovery
processesorcriminalinvestigationsdirectlyafter
concludinganinvestigation.Thisoccurswithout
theneedtoreferourforensicreporttoany
otherserviceproviders,whichisarequirement
whenanauditfirmornon-legalserviceprovider
conductsaninvestigation.
EXPERT WITNESS SERVICES
Wehaveextensiveexperienceinprovidingexpert
witnessservicesintheircapacitiesasattorneys,
charteredaccountants,forensicinvestigatorsor
computerforensicexperts.
PUBLIC PROCUREMENT
Publicprocurementremainsahighriskareafor
fraudandcorruption.OurPublicProcurement
teamisabletoassistclientsinallmattersrelating
tothisarea,including:
• publictenders(preferentialprocurement,
tenderregulations,invitations,adjudication,
ethics,submissionandcompetition);
• supplychainmanagement(policydrafting
andcomplianceassurance,andlitigation);
• publicprocurementcomplianceauditsof
tenderprocesses;
• legalopinionsonprocurementaspectsand
irregularities;and
• publicprocurementfraud.
COMMERCIAL RECOVERIES AND OTHER PROCEEDINGS
Werecognisethecommercialandreputational
risksassociatedwithregulatory,corruption
andcorporatecrimeissuesandassistclientsin
mitigatingtheserisks.
Weofferahighdegreeofspecialisation.Our
clientsreceivethehighestlevelofexpertisewhen
consideringthecommercialrecoveryoflosses
sufferedonaccountofcommercialcrime.
Theoptionsavailabletoclientsfortherecovery
oflossesinclude:
• mechanismsprovidedforinlegislation,such
astheCriminalProcedureActandPrevention
ofOrganisedCrimeActinSouthAfrica;
• theinitiationofcourtproceedingsaimedat
freezingassets;
• theinitiationofcivilcourtproceedings;and
• alternativedisputeresolution.
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Wehavewell-establishedrelationshipswith
lawenforcementagenciesandarealsoable
toassistclientsbyliaisingwithpoliceandlaw
enforcementauthoritiestoensurethatcriminal
prosecutionsproceedwithoutunduedelay.
Weareabletocallonourfullservicein-house
LitigationPracticetoassistwithcomplex
litigationmatters.
FORENSIC IT SOLUTIONS
Ourservicesinclude:
• computerforensicservices,including
imagingofcomputersanddevices;
• datarecovery;
• fraudtrendanddatabaseanalysis
(forensicdataanalytics);and
• electronicdiscovery.
CORPORATE AND REGULATORY COMPLIANCE
Weregularlyadviseonmattersconcerning
corruptioncompliance,regulatoryoversight
proceduresandprovideassistancetoclientsin
developinginternalcompliancesystems.
ANTI-BRIBERY AND CORRUPTION COMPLIANCE AND DUE DILIGENCE
Globallythereisanincreasingfocuson
corruption,andgreatereffortsarebeingmade
bybusinessestoavoidsuccessorliabilityfor
anti-corruptionviolations.
Anti-corruptionproblemsoftenariseduring
mergers,acquisitionsandjointventuresand
corporatecounselareincreasinglyinsistingthat
anti-corruptionduediligencesbeperformed.
Weconductduediligenceoncorruption-related
risksandcorporatecriminalliability.Wework
closelywithourcorporatelawcolleaguesto
ensureourfirmprovidescomprehensivelegal
adviceoncorporatetransactions.
Wealsoroutinelyconductdetailedinternal
fraudriskanalysesonbehalfofclients.These
arecustomisedaccordingtotheclients’specific
requirements.Theygenerallyencompassareview
ofthe:
• existinginternalcontrolsandestablished
policiesandprocedures;
• monitoringandreportingprocesses;and
• existingcomplianceprogrammes.
FCPA AND UK BRIBERY ACT COMPLIANCE
Thepastdecadehasseenasignificantincrease
inthenumberofprosecutionsandfinancial
penaltiesleviedagainstcorporateentitiesby
internationalprosecutorsandregulators.African
jurisdictionsdonotfarewellintermsofglobal
corruptionstatistics.
Weregularlyprovideduediligenceand
complianceservicestoensureourinternational
clientscomplywiththerequirementsofthe
USForeignCorruptPracticesActandtheUK
BriberyAct.
Wealsoensurethatourclients’global
policiesarealignedtoSouthAfricancorruption
legislationandequivalentlegislationinthe
broaderAfricanmarketplace.
ANTI-MONEY LAUNDERING COMPLIANCE
Wehaveadvisedonanti-moneylaundering,
KnowYourClientandsanctionsprocessesfor
clientsthatarerequiredtocomplywithboth
localandinternationallegislationwhen
conductingfinancialtransactionsorentering
intocontractualarrangements.
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TRAINING
Weareequippedtoprovidecustomisedtraining
coursesdesignedaroundtheclientsbusinessand
specificrequirementsandhavedesignedtraining
programmesonfraudprevention.
Wealsoprovidetrainingfocusedonenabling
clientstodealappropriatelywith‘dawnraids’
byregulatoryandlawenforcementauthorities
andcanalsoprovidespecialisttrainingaimed
atbuildingclients’internalforensicinvestigative
capacity.Trainingmaytaketheformoflectures,
seminarsorworkshops.Trainingmaterialis
providedtoensureadetailedunderstandingof
theunderlyingconcepts.
FRAUD RISK MANAGEMENT AND ADVISORY SERVICES
Weadviseclientsonbestpracticesingovernance
andinpreventingfraudandcorruptionin
globalbusinesses.Ourcustomisedcompliance
programmesenableclientstoidentify,evaluate
andlimitpotentialcriminalriskstheymayface.
Wedevelopanddraftpoliciesandprocedures,
includingthosedealingwithfraudandcorruption,
businessentertainmentandgifts,donationsand
incentives,andconflictsofinterest.
Our customised compliance
programmes enable clients
to identify, evaluate and limit
potential criminal risks they
may face.
DUE DILIGENCE AND CORRUPTION RISK ANALYSIS
Weundertakeduediligenceandassurance
projectsforclientsgloballyandarewell
positionedtocoordinateandobtaincountry-
specificcomplianceandwhitecollarcrimerelated
adviceacrossdifferentjurisdictions.Wedothis
throughourstrongrelationshipswithlawfirms
throughoutAfricaandassociationwithLexMundi.
VETTING AND ASSET TRACING
Wehaveaccesstonumerousstatutoryand
proprietarydatabasesandareabletoundertake
detailedbackgroundandconflictsearchesusing
theinformationavailabletous.Weregularly
undertakebackgroundsearches,employee
vetting,qualificationauditsandassettracingon
behalfofclients.
Whileweareabletoprovideclientswithsimple
vettingreportsthatareefficientandcost
effective,wealsohavethecapacitytoundertake
complexmulti-jurisdictionalbackgroundsearches
andassettracing.
ADVISORY SERVICES
Weprovideclientswithdetailedwrittenlegal
adviceandopiniononallmattersrelatedto
governance,complianceandinvestigations.Issues
thatclientshavesoughtouradviceon,include:
• mandatorydisclosureandreporting
obligations;
• therisksofcorporatecriminalliability;
• corporategovernanceandinternal
controlsissues;
• theimplicationsofcommercialarrangements
enteredintobetweenparties;
• theregulatoryandwhitecollarcrime
implicationsofcommercialterms
inagreements;
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• thelawfulnessofspecificincentiveschemes;
• breachesoftheForeignCorruptPractices
ActandUKBriberyAct;
• sanctions;
• foreigncorruptpaymentsissues;and
• theregulatoryenforcementenvironmentin
SouthAfricaandotherAfricanjurisdictions.
DISPUTE RESOLUTION Inthistimeofcomplexrelationshipsamong
individuals,companiesandotherorganisations,
itisbecomingincreasinglyimportanttoconsulta
professionaldisputeresolutionlawfirmtoavoid
costlydisagreements.
Wearewell-placedtoofferourclients
outstandingadvicecoupledwithprofessionaland
efficientlegalservice,whetherinacourtroom,
arbitration,tribunalhearing,disputeresolution
forumormediationsetting.
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Accolades
AFRICAN LEGAL AWARDS 2017
WewontheTechnology,MediaandTelecommunicationsTeamof
theYearAwardattheprestigiousAfricanLegalAwardshosted
byLegal WeekandtheCorporateCounselAssociationofSouth
Africa.Thefirmwasalso‘highlycommended’intheAfricanLaw
FirmoftheYear–LargePracticeandLitigationandDispute
ResolutionTeamoftheYearcategories.
DEALMAKERS AWARDS 2017
WewereidentifiedastheleadinglegaladviserinAfricabyboth
dealvalueanddealvolumeforthethirdconsecutiveyear.Wealso
performedstronglyintheSouthAfricanawardsforM&Abydeal
valueanddealflowandCorporateFinancebydealflow.
INDIA BUSINESS LAW JOURNAL 2017
Wewerenamedasoneoftheleadinginternationallawfirms
forIndiawork.
WHO’S WHO LEGAL AWARDS 2016
WewerenamedSouthAfricanLawFirmoftheYear.
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48 Recognised Lawyers36 Recognised
Lawyers60 Recognised Lawyers
TIER 1
KENYA
Banking,Finance&
CapitalMarkets
Commercial,Corporate&M&A
Employment
RealEstate&Construction
SOUTH AFRICA
Commercial,Corporate&M&A
Competition
Employment
Projects&Infrastructure
Shipping&Transport
TIER 2
KENYA
DisputeResolution
Projects&Energy
SOUTH AFRICA
Banking&Finance
DisputeResolution
InvestmentFunds
Tax
TIER 1
KENYA
Financial&Corporate
Mining
SOUTH AFRICA
CapitalMarkets
Competition
Energy
M&A
UGANDA
Financial&Corporate
ProjectDevelopment
TIER 2
KENYA
Energy
Infrastructure
SOUTH AFRICA
Banking
Infrastructure
Mining
Oil&Gas
ProjectFinance
BAND 1
KENYA
Banking&Finance
Corporate/Commercial
SOUTH AFRICA
CapitalMarkets:Debt
CapitalMarkets:Equity
Competition
CorporateInvestigations
Corporate/M&A
Employment
Environment
IT/Telecommunications
Projects&Energy
Shipping
UGANDA
GeneralBusinessLaw
BAND 2
KENYA
Employment
SOUTH AFRICA
Banking&Finance
DisputeResolution
Media&Broadcasting
Tax
THE LEGAL 500 EMEA 2017 RANKED US IN THE FOLLOWING AREAS
IFLR1000 2018 RANKED US IN THE FOLLOWING AREAS
CHAMBERS & PARTNERS 2017 RANKED US IN THE FOLLOWING AREAS
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MATTHEW PURCHASE
Partner
Johannesburg,SouthAfrica
T:+27116699568
DAVID MPANGA
Partner
Kampala,Uganda
T:+256414254540
WILLIAM KASOZI
ManagingPartner
Kampala,Uganda
T: +256414254540
ERNEST K. WILTSHIRE
Partner
Kampala,Uganda
T: +256414254540
JOE DA SILVA
Partner
Johannesburg,SouthAfrica
T:+27116699487
ANTHONY NJOGU
Partner
Nairobi,Kenya
T:+254202899000
KAMANI CHRISTINE MICHIRA
Partner
Nairobi,Kenya
T:+254202899000
JOHAN KRUGER
HeadofGovernance,
ComplianceandInvestigations
Johannesburg,SouthAfrica
T:+27116699637
Key Contacts
DAVID DE VILLIERS
Partner
Johannesburg,SouthAfrica
T:+27116699535
RENÉ KENOSI
Partner
Johannesburg,SouthAfrica
T:+27116699583
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JACQUELINE LULE
OfCounsel
Kampala,Uganda
T: +256414254540
To view profiles of our lawyers,
please visit www.bowmanslaw.com
CAMERON DUNSTAN-SMITH
SeniorAssociate
Johannesburg,SouthAfrica
T:+27116699467
CHARMAINE COGLE
SeniorForensicsManager
Johannesburg,SouthAfrica
T:+27116699570
FRANCOIS TRICHARDT
SeniorAssociate
Johannesburg,SouthAfrica
T:+27116699526
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Governance, Compliance and Investigations
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Cape Town
T: +27214807800
Dar es Salaam
T: +255768988640
Durban
T: +27312650651
Johannesburg
T: +27116699000
Kampala
T: +256414254540
Nairobi
T: +254202899000
Follow us on Twitter:
@Bowmans_Law
www.bowmanslaw.com
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