Practice 05
Enforcement & Investigations
When a regulator is asking questions, the early decisions matter most. We handle voluntary self-disclosure, civil penalty defence and internal investigations before OFAC and BIS — weighing disclosure against exposure with a clear view of the economics.
Applicable regime & authority
Primary authorities: OFAC and BIS. Procedures, penalties and reporting sit under 31 C.F.R. Part 501 (OFAC) and the BIS enforcement framework, including the voluntary self-disclosure process.
Analysis
Full analysis is in preparation as part of the matrix build (Phase 2). This hub sets out the regime, the practical route and the FAQ; the detailed sub-topics — by authority, service and sector — link from here as they are published.
Practical steps
A decision-tree walkthrough of what to do, in order, will sit here. In the meantime, the FAQ below answers the questions clients ask first, and the Exposure Check gives a fast orientation.
Risk flags
Watch for secondary-sanctions reach, extraterritoriality across regimes, and fixed regulatory clocks. Where they apply, the time to act is measured in days, not weeks.
When to seek counsel
When a payment is held, a counterparty is newly designated, a deadline is running, or a position has to be defensible to a bank or regulator — a written assessment is the proportionate first step.
Cost & timeline framing
Most matters here start with a fixed-fee written position; larger engagements are scoped with a clear estimate. We do not charge success fees. See how we price.
Related practices
Sanctions Risk & Compliance
When exposure is uncertain, the first job is to see it clearly.
Read more →Related practiceLicensing & Authorizations
Some activity is permitted only with a licence.
Read more →Related practiceDelisting & Designation Challenges
A designation is not always the end of the matter.
Read more →FAQ
Questions clients ask first.
Should we make a voluntary self-disclosure?
It depends on the facts, the strength of the apparent violation and the mitigation on offer. A disclosure can reduce penalties materially, but it is a decision to take with a clear view of exposure, not reflexively.
What happens in the first 48 hours of an enquiry?
Preserve documents, map the facts, identify the regime and authority, and avoid statements that foreclose options. Early missteps are harder to undo than the underlying issue.
How are penalties assessed?
Authorities weigh factors such as wilfulness, harm, the quality of the compliance programme and cooperation. Understanding the framework lets you influence the outcome rather than react to it.
Can an internal investigation stay privileged?
Privilege depends on how the work is structured and on local law. We scope investigations with that in mind, but we do not overstate protections that arise only within a lawyer–client relationship.
Get a written position you can defend.
For companies facing an enquiry, subpoena or apparent violation. A short call, then a fixed-fee written position — response within two hours in business hours.