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GOVERNANCE, COMPLIANCE AND INVESTIGATIONS
GOVERNANCE, COMPLIANCE AND INVESTIGATIONS
2
BOWMANS
Contents
04 OurFirm
05 OurFootprintinAfrica
06 OurGovernance,ComplianceandInvestigationsPractice
07 OurSpecialistServices
12 Accolades
14 KeyContacts
Governance, Compliance and Investigations
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BOWMANS
4CONTENTS PAGE
Our Firm
WithsevenofficesinfiveAfricancountries
andover400specialisedlawyers,we
drawonouruniqueknowledgeofthebusiness
andsocio-politicalenvironmenttoadvise
clientsonawiderangeoflegalissues.
Everywherewework,weofferclientsa
servicethatuniquelyblendsexpertiseinthe
law,knowledgeofthelocalmarketandan
understandingoftheirbusinesses.Ouraim
istoassistthemtoachievetheirobjectives
assmoothlyandefficientlyaspossiblewhile
minimisingthelegalandregulatoryrisks.
Ourclientsincludecorporates,multinationals
andstate-ownedenterprisesacross
arangeofindustrysectorsaswellas
financialinstitutionsandgovernments.
Ourexpertiseisfrequentlyrecognisedby
independentresearchorganisations.Wewere
rankedfirstbydealvalueandsecondbydeal
countinMergermarket’s2018Africaleague
tablesforlegaladvisors.Wereceivedawards
infiveoutofsixcategoriesattheDealmakers
EastAfricaAwardsfor2018:toplegaladviser
inM&Aforbothdealflowandvalue,toplegal
adviserinGeneralCorporateFinanceforboth
transactionflowandvalue,andadvisedonthe
DealoftheYear.IntheDealmakers SouthAfrica
Awardsfor2018,wewereplacedfirstfordeal
flowintheGeneralCorporateFinancecategory.
WewerenamedSouthAfricanLawFirmofthe
Yearfor2018intheChambersAfricaAwardsfor
Excellence.Wealsoreceivedthe2019awardsfor
TransportationandInfrastructureTeamofthe
YearandTMTTeamoftheYearattheAfrican
LegalAwardshostedbyLegal Week andthe
CorporateCounselAssociationofSouthAfrica.
Bowmans exists to help our clients overcome legal complexity and unlock opportunity in Africa. 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.
Governance, Compliance and Investigations
5CONTENTS PAGE
Our Footprint in Africa
Weprovideintegratedlegalservices
throughoutAfricafromsevenoffices
(CapeTown,DaresSalaam,Durban,
Johannesburg,Kampala,MokaandNairobi)
infivecountries(Kenya,Mauritius,SouthAfrica,
TanzaniaandUganda).
Weworkcloselywithouralliancefirm,
AmanAssefa&AssociatesLawOffice,in
Ethiopia,andourbestfriendsinNigeriaand
Mozambique(UdoUdoma&Belo-Osagieand
TacianaPeãoLopes&AdvogadosAssociados,
respectively).Wealsohavestrongrelationships
withotherleadinglawfirmsacrossthe
restofAfrica.
WearerepresentativesofLexMundi,aglobal
associationwithmorethan160independentlaw
firmsinallthemajorcentresacrosstheglobe.
Thisassociationgivesusaccesstothebest
firmsineachjurisdictionrepresented.
Mozambique
Kenya
Tanzania
South Africa
Nigeria
Uganda
Mauritius
Best friends
Bowmans offices
Significant transaction or advisory experience
Alliance firms
Ethiopia
Africanjurisdictionshavenotbeenignoredin
theglobalshifttowardstheenforcementof
anti-corruption,anti-briberyandanti-money
laundering/counteringfinancingofterrorismlaws.
This,coupledwithsignificantfinesandpenalties,
highlightstheneedforspecialisedgovernance,
complianceandinvestigationlegalservicesfor
thosedoingbusinessinAfrica.
OurGovernance,ComplianceandInvestigations
Practicerepresentsabroadspectrumofprivate
andpublicsectorclientsincludingmajorlistedand
unlisteddomesticandinternationalcorporations
andbankinginstitutions,state-ownedenterprises,
governmentdepartments,localgovernment
institutionsanddevelopmentinstitutions.
Weundertakespecialistforensicinvestigations;
providegovernance,corruptionandregulatory
complianceadvice;andcompleteriskassessment
andmanagementreviews.
Weactforclientsininvestigationsand
proceedingsbycriminalandregulatoryagencies
andhavebeeninvolvedinseveralhighprofileand
publicinterestcases.
We undertake specialist
forensic investigations;
provide governance, corruption
and regulatory compliance
advice; and complete risk
management reviews.
Ourservicesextendtoidentifyingspecific
governanceand/orcompliancerisksthat
resultedinprejudiceand/orlosses,andmaking
recommendationstomitigatethese.
Ourspecialistteamcancalluponmorethan
60highly-qualifiedandexperiencedlawyers,
accountants,forensicinvestigatorsand
computerforensicspecialistsfromwithin
theBowmansgroup.
Allofourengagementsareledbylawyers,who
areabletocompileteamsofspecialistsasper
therequirementsofspecificassignments.Weare
thereforeabletoimplementrecommendations
flowingfromanygovernance,complianceor
investigativeengagementimmediately.These
includeinitiatinganddefendingcivilproceedings;
initiatingdisciplinaryenquiriesandcriminal
investigations;andtakingremedialstepsto
addresstheriskofcorporatecriminalliability.
Ourclientsenjoytheprotectionoflegal
professionalprivilege(whileteamsledby
accountantsdonot).Ourreports,clientadvice
andadvocate-clientcorrespondenceare
thereforeprotectedagainstsummons,warrants
orforceddisclosuretothirdparties.
Ourreachisparticularlysignificantingovernance,
complianceandinvestigationsmatterswhere
ourclientsareincreasinglyaffectedbyanti-
corruption/anti-bribery/anti-moneylaundering
legislationwithextra-territorialapplication(such
astheUSForeignCorruptPracticesActandthe
UKBriberyAct).Weassistourlocalandmulti-
nationalclientstoassesstheirstateandlevelof
compliancewithdomesticlegislationsuchasthe
ProceedsofCrimeandAnti-moneyLaundering
Act,thePreventionofTerrorismAct,theAnti-
CorruptionandEconomicCrimesActandthe
PublicOfficersEthicsActinKenya.
Our Governance, Compliance and Investigations Practice
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Allinvestigationsareconducteddiscreetly
andwithakeenappreciationforthe
reputationalriskassociatedwithallegationsof
white-collarcrimeorregulatorymisconduct
madeagainstacompanyorpublicorganisation.
Allinformationprovidedtousistreatedinthe
strictestconfidence.
Seamlessservicedeliveryisoneofthebenefits
ofretainingustoconductinternalorexternal
investigations.Ourclientsofteninstructusto
initiatedisciplinaryproceedings,civilrecovery
processesorcriminalinvestigationsdirectly
afterconcludinganinvestigation.Thisoccurs
withouttheneedtoreferourforensicreport
toanyotherserviceproviders,whichisa
requirementwhenanauditfirmornon-legal
serviceproviderconductsaninvestigation.
Undertheforensicinvestigationspillar,we:
• undertakefraudandfinancial
improprietyinvestigations;
• havecapacitytoconductcyberand
computercrimeinvestigations;
• traceproceedsofcrimeandtraceassets
forseizureandforfeiture;
• investigateprocurementirregularitiessuch
asbidfixingandgivingofkick-backs;
• undertakeconflictofinterestchecks
andinvestigatebreachesofemployment
policiesandprocedures;
• carryouttaxevasionandtax
diversioninvestigations;and
• providebusinessandcorporate
intelligenceservices.
Our Specialist ServicesWeofferarangeofservicesunderour
Governance,ComplianceandInvestigations
Practice,suchas:
• forensicinvestigations;
• fraudriskmanagementandadvisoryservices;
• corporatelegalandregulatorycompliance;
• disputeresolution,litigationsupportand
expertwitnessservices;and
• governance,complianceandinvestigation
advisoryservices.
FORENSIC INVESTIGATIONS
Wehaveaproventrackrecordininvestigations
intoseriousandcomplexcommercialand
regulatoryfraudcases.
Ourexperienceenablesustoprovidesound
adviceconcerningthebestcourseofactionif
wrongdoingisidentified,includingpotential
disclosuretoauthorities.Wearealsoableto
providelegalopinionsonourfindings,aservice
thatnon-legalfirmsareunabletodo.
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.
Governance, Compliance and Investigations
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FRAUD RISK MANAGEMENT AND ADVISORY SERVICES
Weadviseclientsonbestpracticesin
governanceandinpreventingfraudand
corruptionintheirbusinessoperations.
Ourcustomisedcomplianceprogrammes
enableclientstoidentify,evaluateandlimit
potentialcriminalriskstheymayface.
Wedevelopanddraftpoliciesand
procedures,includingthosedealing
withfraudandcorruption,business
entertainmentandgifts,donationsand
incentives,andconflictsofinterest.
Toassistwithafraudmanagement
framework,we:
• helpdesignandimplementholistic
fraudmanagementstructuresthat
willcushionclientsfromfraud;
• conductenterprise-widefraudrisk
assessmentandmitigationanalysis;
• provideforensicdataanalyticsservices
toidentifyoddandpotentiallyfraudulent
patternsinclients’data;
• vetemployeesandbusiness
associates/suppliers;and
• helpsetupwhistle-blowerchannels
suchashotlinesandwhistle-blowing
incentiveprogrammes.
CORPORATE LEGAL AND REGULATORY COMPLIANCE
Weregularlyadviseonmattersconcerning
corruptioncompliance,regulatoryoversight
proceduresandprovideassistancetoclientsin
developinginternalcompliancesystems.
Weprovideduediligenceandcompliance
servicestoensureourinternationalclientscomply
withtherequirementsoftheUSForeignCorrupt
PracticesActandtheUKBriberyAct.Wealso
ensurethatourclients’globalpoliciesarealigned
todomesticlegislationandequivalentlegislation
inthebroaderAfricanmarketplace.
Wehaveadvisedonanti-moneylaundering,
Know-Your-Clientandsanctionsprocessesfor
clientsthatarerequiredtocomplywithboth
localandinternationallegislationwhen
conductingfinancialtransactionsorentering
intocontractualarrangements.
Becauseanti-corruptionproblemscanarise
duringmergers,acquisitionsandjointventures,
corporatecounselareincreasinglyinsistingthat
anti-corruptionduediligencebeperformed.
Toenhancethecomplianceprofilesof
ourclients,we:
• conductcorporatelegalandregulatoryaudits
toassessthelevelofcompliancewithrelevant
lawsandregulations;
• undertakeanti-briberyandanti-corruption
(ABAC)compliancereviews;
• assessadherencetotheForeignCorrupt
PracticesActandtheUKBriberyActinlocal
activities(formulti-nationals);
• provideanti-moneylaunderingcompliance
reviewsforfinancialanddesignated
institutions;and
• providetrainingonethics,integrity,fraud
management,anti-corruption/briberyand
anti-moneylaunderingcompliance.
Our customised
compliance programmes
enable clients to identify,
evaluate and limit
potential criminal risks
they may face.
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DISPUTE RESOLUTION, LITIGATION SUPPORT AND EXPERT WITNESS SERVICES
Werecognisethecommercialandreputational
risksassociatedwithregulatory,corruption
andcorporatecrimeissuesandassistclientsin
mitigatingtheserisks.Inthistimeofcomplex
relationshipsamongindividuals,companies
andotherorganisations,itisbecoming
increasinglyimportanttoconsultaprofessional
disputeresolutionlawfirmtoavoidcostly
disagreements.
Wearewell-placedtoofferourclients
outstandingadvicecoupledwithprofessional
andefficientlegalservice,whetherinacourt
room,arbitration,tribunalhearing,dispute
resolutionforumormediationsetting.
Weadviseon,andinstituteactionsfor,recovery
oflossessufferedthroughcommercialcrime,
suchas:
• themechanismsprovidedforinnational
legislationforrecovery,suchasinthe
Anti-CorruptionandEconomicCrimesAct,
theProceedsofCrimeandAnti-Money
LaunderingActandthePreventionof
TerrorismActinKenya;
• theinitiationofcourtproceedingsaimedat
freezingaccountsandseizingassets;
• theinitiationofcivilcourtproceedings;and
• alternativedisputeresolution.
Wehavewell-establishedrelationshipswith
lawenforcementagenciesandarealsoable
toassistclientsbyliaisingwithpoliceandlaw
enforcementauthoritiestoensurethatcriminal
prosecutionsproceedwithoutunduedelay.
Weareabletocallonourfullservicein-house
LitigationPracticetoassistwithcomplex
litigationmatters.
Ourteamcancompriseaccountantsand
certifiedforensicinvestigatorswhoplaya
centralandintegralroleintheinvestigations
andactasspecialistandexpertwitnesses.
Governance, Compliance and Investigations
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GOVERNANCE, COMPLIANCE AND INVESTIGATIONS ADVISORY SERVICES
Weprovideclientswithdetailedwrittenlegal
adviceandopinionsonallmattersrelatedto
governance,complianceandinvestigations.Issues
thatclientshavesoughtouradviceon,include:
• mandatorydisclosureandreporting
obligations;
• riskmanagementandtherisksofcorporate
criminalliability;
• corporategovernance,legalcomplianceand
internalcontrolsissues;
• theimplicationsofcommercialarrangements
enteredintobetweenparties;
• theregulatoryandwhite-collarcrime
implicationsofcommercialtermsin
agreements;
• thelawfulnessofspecificincentiveschemes;
• implicationsofbreachesoftheForeign
CorruptPracticesActandUKBriberyActand
thedomesticanti-corruption,anti-briberyand
anti-moneylaunderinglegislation;
• sanctions;and
• thelegalandregulatoryenforcement
environmentinKenyaandelsewhereinAfrica.
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Governance, Compliance and Investigations
AccoladesAFRICAN LEGAL AWARDS 2019
Wewontwopracticeawards-forTransportationand
InfrastructureTeamoftheYearandTMTTeamoftheYear.
CHAMBERS AFRICA AWARDS 2018
WewerenamedSouthAfricanLawFirmoftheYear.
DEALMAKERS SOUTH AFRICA AWARDS 2018
Wewereplacedfirstfordealflowandthirdfordealvaluein
theGeneralCorporateFinancecategory,andthirdfordeal
valueandfourthfordealflowintheM&Acategory.
DEALMAKERS EAST AFRICA AWARDS 2018
Wereceivedawardsinfiveoutofsixcategories:top
legaladviserinM&Aforbothdealflowandvalue,top
legaladviserinGeneralCorporateFinanceforboth
transactionflowandvalue,andadvisedontheDealof
theYear(theRubisEnergietakeoverofKenolKobil).
MERGERMARKET LEAGUE TABLES 2018
Wewererankedfirstbydealvalueandsecondbydealcount
intheAfricaleaguetablesforlegaladvisors,andthirdbydeal
countintheMiddleEast&Africaleaguetableforlegaladvisors.
BOWMANS
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75 39 60Recognised Lawyers
Recognised Lawyers
Recognised Lawyers
BAND 1
KENYA
Banking&Finance
Corporate/M&A
Employment
IntellectualProperty
RealEstate
SOUTH AFRICA
CapitalMarkets:Debt
CapitalMarkets:Equity
Competition/Antitrust
CorporateInvestigations
Corporate/M&A
Employment
Environment
IT&Telecommunications
Projects&Energy
PublicLaw
Shipping
Tax
TANZANIA
GeneralBusinessLaw
UGANDA
GeneralBusinessLaw
BAND 2
SOUTH AFRICA
Banking&Finance
DisputeResolution
Fintech
Media&Broadcasting
Restructuring/Insolvency
KENYA
Fintech
Projects&Energy
CHAMBERS & PARTNERS 2019 RANKED US IN
THE FOLLOWING AREAS
TIER 1
KENYA
Financial&Corporate
Mining
SOUTH AFRICA
CapitalMarkets
Power
M&A
UGANDA
Financial&Corporate
ProjectDevelopment
TIER 2
KENYA
Power
Infrastructure
SOUTH AFRICA
Banking
Infrastructure
Mining
Oil&Gas
ProjectFinance
TANZANIA
Financial&Corporate
TIER 3
TANZANIA
ProjectDevelopment
IFLR1000 2020 RANKED US IN THE
FOLLOWING AREAS
TIER 1
KENYA
Banking&Finance
Commercial,Corporate&M&A
Employment
RealEstate&Construction
SOUTH AFRICA
Commercial,Corporate&M&A
Competition
Employment
Projects&Infrastructure
Shipping
TANZANIA
LeadingFirm
UGANDA
LeadingFirm
TIER 2
KENYA
DisputeResolution
Privitisation&Projects
SOUTH AFRICA
Banking&Finance
Construction
DisputeResolution
InvestmentFunds
Tax
THE LEGAL 500 EMEA 2019 RANKED US IN
THE FOLLOWING AREAS
Governance, Compliance and Investigations
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Key Contacts
DAVID DE VILLIERS
Executive-Investigations
Johannesburg,SouthAfrica
T:+27116699535
JACQUELINE LULE
Partner
Kampala,Uganda
T: +256414254540
MATTHEW PURCHASE
Partner
Johannesburg,SouthAfrica
T:+27116699568
DAVID MPANGA
Partner
Kampala,Uganda
T:+256414254540
ERNEST WILTSHIRE
ManagingPartner,Uganda
Kampala,Uganda
T: +256414254540
ANTHONY NJOGU
Partner
Nairobi,Kenya
T:+254202899000
JOHAN KRUGER
HeadofGovernance,
ComplianceandInvestigations
Johannesburg,SouthAfrica
T:+27116699637
CHRISTINE MICHIRA
Partner
Nairobi,Kenya
T:+254202899000
BOWMANS
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JOE DA SILVA
Executive-Investigations
Johannesburg,SouthAfrica
T:+27116699559
To view profiles of our lawyers,
please visit www.bowmanslaw.com
CHARMAINE COGLE
SeniorForensicsManager
Johannesburg,SouthAfrica
T:+27116699570
FRANCOIS TRICHARDT
SeniorAssociate
Johannesburg,SouthAfrica
T:+27116699526
MIRIAM GAITURI
AssociateDirector
Nairobi,Kenya
T:+254202899000
Governance, Compliance and Investigations
15CONTENTS PAGE
Cape Town, South Africa
T:+27214807800
Dar es Salaam, Tanzania
T: +255768988640
Durban, South Africa
T: +27312650651
Johannesburg, South Africa
T: +27116699000
Kampala, Uganda
T: +256414254540
Moka, Mauritius
T: +2304688411
Nairobi, Kenya
T: +254202899000
Follow us on Twitter:
@Bowmans_Law
www.bowmanslaw.com
Alliance Firm:
Aman Assefa & Associates Law Office, Addis Ababa, Ethiopia
T: +25114702868
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